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Blog Graphic Design 15+ Case Study Examples for Business, Marketing & Sales

15+ Case Study Examples for Business, Marketing & Sales

Written by: Alice Corner Jan 12, 2023

Have you ever bought something — within the last 10 years or so — without reading its reviews or without a recommendation or prior experience of using it?

If the answer is no — or at least, rarely — you get my point.

Positive reviews matter for selling to regular customers, and for B2B or SaaS businesses, detailed case studies are important too.

Wondering how to craft a compelling case study ? No worries—I’ve got you covered with 15 marketing case study templates , helpful tips, and examples to ensure your case study converts effectively.

Click to jump ahead:

What is a case study?

What to include in a professional case study, business case study examples, simple case study examples, marketing case study examples, sales case study examples.

• Case study FAQs

A case study is an in-depth, detailed analysis of a specific real-world situation. For example, a case study can be about an individual, group, event, organization, or phenomenon. The purpose of a case study is to understand its complexities and gain insights into a particular instance or situation.

In the context of a business, however, case studies take customer success stories and explore how they use your product to help them achieve their business goals.

As well as being valuable marketing tools , case studies are a good way to evaluate your product as it allows you to objectively examine how others are using it.

It’s also a good way to interview your customers about why they work with you.

Related: What is a Case Study? [+6 Types of Case Studies]

A professional case study showcases how your product or services helped potential clients achieve their business goals. You can also create case studies of internal, successful marketing projects. A professional case study typically includes:

• Company background and history
• The challenge
• How you helped
• Specific actions taken
• Visuals or Data
• Client testimonials

Here’s an example of a case study template:

Whether you’re a B2B or B2C company, business case studies can be a powerful resource to help with your sales, marketing, and even internal departmental awareness.

Business and business management case studies should encompass strategic insights alongside anecdotal and qualitative findings, like in the business case study examples below.

Conduct a B2B case study by researching the company holistically

When it comes to writing a case study, make sure you approach the company holistically and analyze everything from their social media to their sales.

Think about every avenue your product or service has been of use to your case study company, and ask them about the impact this has had on their wider company goals.

In business case study examples like the one above, we can see that the company has been thought about holistically simply by the use of icons.

By combining social media icons with icons that show in-person communication we know that this is a well-researched and thorough case study.

This case study report example could also be used within an annual or end-of-year report.

Highlight the key takeaway from your marketing case study

To create a compelling case study, identify the key takeaways from your research. Use catchy language to sum up this information in a sentence, and present this sentence at the top of your page.

This is “at a glance” information and it allows people to gain a top-level understanding of the content immediately. 

You can use a large, bold, contrasting font to help this information stand out from the page and provide interest.

Learn  how to choose fonts  effectively with our Venngage guide and once you’ve done that.

Upload your fonts and  brand colors  to Venngage using the  My Brand Kit  tool and see them automatically applied to your designs.

The heading is the ideal place to put the most impactful information, as this is the first thing that people will read.

In this example, the stat of “Increase[d] lead quality by 90%” is used as the header. It makes customers want to read more to find out how exactly lead quality was increased by such a massive amount.

If you’re conducting an in-person interview, you could highlight a direct quote or insight provided by your interview subject.

Pick out a catchy sentence or phrase, or the key piece of information your interview subject provided and use that as a way to draw a potential customer in.

Use charts to visualize data in your business case studies

Charts are an excellent way to visualize data and to bring statistics and information to life. Charts make information easier to understand and to illustrate trends or patterns.

Making charts is even easier with Venngage.

In this consulting case study example, we can see that a chart has been used to demonstrate the difference in lead value within the Lead Elves case study.

Adding a chart here helps break up the information and add visual value to the case study. 

Using charts in your case study can also be useful if you’re creating a project management case study.

You could use a Gantt chart or a project timeline to show how you have managed the project successfully.

Use direct quotes to build trust in your marketing case study

To add an extra layer of authenticity you can include a direct quote from your customer within your case study.

According to research from Nielsen , 92% of people will trust a recommendation from a peer and 70% trust recommendations even if they’re from somebody they don’t know.

So if you have a customer or client who can’t stop singing your praises, make sure you get a direct quote from them and include it in your case study.

You can either lift part of the conversation or interview, or you can specifically request a quote. Make sure to ask for permission before using the quote.

This design uses a bright contrasting speech bubble to show that it includes a direct quote, and helps the quote stand out from the rest of the text.

This will help draw the customer’s attention directly to the quote, in turn influencing them to use your product or service.

Less is often more, and this is especially true when it comes to creating designs. Whilst you want to create a professional-looking, well-written and design case study – there’s no need to overcomplicate things.

These simple case study examples show that smart clean designs and informative content can be an effective way to showcase your successes.

Use colors and fonts to create a professional-looking case study

Business case studies shouldn’t be boring. In fact, they should be beautifully and professionally designed.

This means the normal rules of design apply. Use fonts, colors, and icons to create an interesting and visually appealing case study.

In this case study example, we can see how multiple fonts have been used to help differentiate between the headers and content, as well as complementary colors and eye-catching icons.

Marketing case studies are incredibly useful for showing your marketing successes. Every successful marketing campaign relies on influencing a consumer’s behavior, and a great case study can be a great way to spotlight your biggest wins.

In the marketing case study examples below, a variety of designs and techniques to create impactful and effective case studies.

Show off impressive results with a bold marketing case study

Case studies are meant to show off your successes, so make sure you feature your positive results prominently. Using bold and bright colors as well as contrasting shapes, large bold fonts, and simple icons is a great way to highlight your wins.

In well-written case study examples like the one below, the big wins are highlighted on the second page with a bright orange color and are highlighted in circles.

Making the important data stand out is especially important when attracting a prospective customer with marketing case studies.

Use a simple but clear layout in your case study

Using a simple layout in your case study can be incredibly effective, like in the example of a case study below.

Keeping a clean white background, and using slim lines to help separate the sections is an easy way to format your case study.

Making the information clear helps draw attention to the important results, and it helps improve the  accessibility of the design .

Business case study examples like this would sit nicely within a larger report, with a consistent layout throughout.

Use visuals and icons to create an engaging and branded business case study

Nobody wants to read pages and pages of text — and that’s why Venngage wants to help you communicate your ideas visually.

Using icons, graphics, photos, or patterns helps create a much more engaging design. 

With this Blue Cap case study icons, colors, and impactful pattern designs have been used to create an engaging design that catches your eye.

Use a monochromatic color palette to create a professional and clean case study

Let your research shine by using a monochromatic and minimalistic color palette.

By sticking to one color, and leaving lots of blank space you can ensure your design doesn’t distract a potential customer from your case study content.

In this case study on Polygon Media, the design is simple and professional, and the layout allows the prospective customer to follow the flow of information.

The gradient effect on the left-hand column helps break up the white background and adds an interesting visual effect.

Did you know you can generate an accessible color palette with Venngage? Try our free accessible color palette generator today and create a case study that delivers and looks pleasant to the eye:

Add long term goals in your case study

When creating a case study it’s a great idea to look at both the short term and the long term goals of the company to gain the best understanding possible of the insights they provide.

Short-term goals will be what the company or person hopes to achieve in the next few months, and long-term goals are what the company hopes to achieve in the next few years.

Check out this modern pattern design example of a case study below:

In this case study example, the short and long-term goals are clearly distinguished by light blue boxes and placed side by side so that they are easy to compare.

Use a strong introductory paragraph to outline the overall strategy and goals before outlining the specific short-term and long-term goals to help with clarity.

This strategy can also be handy when creating a consulting case study.

Use data to make concrete points about your sales and successes

When conducting any sort of research stats, facts, and figures are like gold dust (aka, really valuable).

Being able to quantify your findings is important to help understand the information fully. Saying sales increased 10% is much more effective than saying sales increased.

While sales dashboards generally tend it make it all about the numbers and charts, in sales case study examples, like this one, the key data and findings can be presented with icons. This contributes to the potential customer’s better understanding of the report.

They can clearly comprehend the information and it shows that the case study has been well researched.

Use emotive, persuasive, or action based language in your marketing case study

Create a compelling case study by using emotive, persuasive and action-based language when customizing your case study template.

In this well-written case study example, we can see that phrases such as “Results that Speak Volumes” and “Drive Sales” have been used.

Using persuasive language like you would in a blog post. It helps inspire potential customers to take action now.

Keep your potential customers in mind when creating a customer case study for marketing

82% of marketers use case studies in their marketing  because it’s such an effective tool to help quickly gain customers’ trust and to showcase the potential of your product.

Why are case studies such an important tool in content marketing?

By writing a case study you’re telling potential customers that they can trust you because you’re showing them that other people do.

Not only that, but if you have a SaaS product, business case studies are a great way to show how other people are effectively using your product in their company.

In this case study, Network is demonstrating how their product has been used by Vortex Co. with great success; instantly showing other potential customers that their tool works and is worth using.

Related: 10+ Case Study Infographic Templates That Convert

Case studies are particularly effective as a sales technique.

A sales case study is like an extended customer testimonial, not only sharing opinions of your product – but showcasing the results you helped your customer achieve.

Make impactful statistics pop in your sales case study

Writing a case study doesn’t mean using text as the only medium for sharing results.

You should use icons to highlight areas of your research that are particularly interesting or relevant, like in this example of a case study:

Icons are a great way to help summarize information quickly and can act as visual cues to help draw the customer’s attention to certain areas of the page.

In some of the business case study examples above, icons are used to represent the impressive areas of growth and are presented in a way that grabs your attention.

Use high contrast shapes and colors to draw attention to key information in your sales case study

Help the key information stand out within your case study by using high contrast shapes and colors.

Use a complementary or contrasting color, or use a shape such as a rectangle or a circle for maximum impact.

This design has used dark blue rectangles to help separate the information and make it easier to read.

Coupled with icons and strong statistics, this information stands out on the page and is easily digestible and retainable for a potential customer.

Case study examples summary

Once you have created your case study, it’s best practice to update your examples on a regular basis to include up-to-date statistics, data, and information.

You should update your business case study examples often if you are sharing them on your website .

It’s also important that your case study sits within your brand guidelines – find out how Venngage’s My Brand Kit tool can help you create consistently branded case study templates.

Case studies are important marketing tools – but they shouldn’t be the only tool in your toolbox. Content marketing is also a valuable way to earn consumer trust.

Case study FAQ s

Why should you write a case study.

Case studies are an effective marketing technique to engage potential customers and help build trust.

By producing case studies featuring your current clients or customers, you are showcasing how your tool or product can be used. You’re also showing that other people endorse your product.

In addition to being a good way to gather positive testimonials from existing customers, business case studies are good educational resources and can be shared amongst your company or team, and used as a reference for future projects.

How should you write a case study?

To create a great case study, you should think strategically. The first step, before starting your case study research, is to think about what you aim to learn or what you aim to prove.

You might be aiming to learn how a company makes sales or develops a new product. If this is the case, base your questions around this.

You can learn more about writing a case study  from our extensive guide.

Related: How to Present a Case Study like a Pro (With Examples)

Some good questions you could ask would be:

• Why do you use our tool or service?
• How often do you use our tool or service?
• What does the process of using our product look like to you?
• If our product didn’t exist, what would you be doing instead?
• What is the number one benefit you’ve found from using our tool?

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16 case study examples (+ 3 templates to make your own)

I like to think of case studies as a business's version of a resume. It highlights what the business can do, lends credibility to its offer, and contains only the positive bullet points that paint it in the best light possible.

Imagine if the guy running your favorite taco truck followed you home so that he could "really dig into how that burrito changed your life." I see the value in the practice. People naturally prefer a tried-and-true burrito just as they prefer tried-and-true products or services.

To help you showcase your success and flesh out your burrito questionnaire, I've put together some case study examples and key takeaways.

What is a case study?

A case study is an in-depth analysis of how your business, product, or service has helped past clients. It can be a document, a webpage, or a slide deck that showcases measurable, real-life results.

For example, if you're a SaaS company, you can analyze your customers' results after a few months of using your product to measure its effectiveness. You can then turn this analysis into a case study that further proves to potential customers what your product can do and how it can help them overcome their challenges.

It changes the narrative from "I promise that we can do X and Y for you" to "Here's what we've done for businesses like yours, and we can do it for you, too."

16 case study examples 

While most case studies follow the same structure, quite a few try to break the mold and create something unique. Some businesses lean heavily on design and presentation, while others pursue a detailed, stat-oriented approach. Some businesses try to mix both.

There's no set formula to follow, but I've found that the best case studies utilize impactful design to engage readers and leverage statistics and case details to drive the point home. A case study typically highlights the companies, the challenges, the solution, and the results. The examples below will help inspire you to do it, too.

1. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Volcanica Coffee and AdRoll

People love a good farm-to-table coffee story, and boy am I one of them. But I've shared this case study with you for more reasons than my love of coffee. I enjoyed this study because it was written as though it was a letter.

In this case study, the founder of Volcanica Coffee talks about the journey from founding the company to personally struggling with learning and applying digital marketing to finding and enlisting AdRoll's services.

It felt more authentic, less about AdRoll showcasing their worth and more like a testimonial from a grateful and appreciative client. After the story, the case study wraps up with successes, milestones, and achievements. Note that quite a few percentages are prominently displayed at the top, providing supporting evidence that backs up an inspiring story.

Takeaway: Highlight your goals and measurable results to draw the reader in and provide concise, easily digestible information.

2. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Taylor Guitars and Airtable

This Airtable case study on Taylor Guitars comes as close as one can to an optimal structure. It features a video that represents the artistic nature of the client, highlighting key achievements and dissecting each element of Airtable's influence.

It also supplements each section with a testimonial or quote from the client, using their insights as a catalyst for the case study's narrative. For example, the case study quotes the social media manager and project manager's insights regarding team-wide communication and access before explaining in greater detail.

Takeaway: Highlight pain points your business solves for its client, and explore that influence in greater detail.

3. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} EndeavourX and Figma

My favorite part of Figma's case study is highlighting why EndeavourX chose its solution. You'll notice an entire section on what Figma does for teams and then specifically for EndeavourX.

It also places a heavy emphasis on numbers and stats. The study, as brief as it is, still manages to pack in a lot of compelling statistics about what's possible with Figma.

Takeaway: Showcase the "how" and "why" of your product's differentiators and how they benefit your customers.

4. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} ActiveCampaign and Zapier

Zapier's case study leans heavily on design, using graphics to present statistics and goals in a manner that not only remains consistent with the branding but also actively pushes it forward, drawing users' eyes to the information most important to them. 

The graphics, emphasis on branding elements, and cause/effect style tell the story without requiring long, drawn-out copy that risks boring readers. Instead, the cause and effect are concisely portrayed alongside the client company's information for a brief and easily scannable case study.

Takeaway: Lean on design to call attention to the most important elements of your case study, and make sure it stays consistent with your branding.

5. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Ironclad and OpenAI

In true OpenAI fashion, this case study is a block of text. There's a distinct lack of imagery, but the study features a narrated video walking readers through the product.

The lack of imagery and color may not be the most inviting, but utilizing video format is commendable. It helps thoroughly communicate how OpenAI supported Ironclad in a way that allows the user to sit back, relax, listen, and be impressed. 

Takeaway: Get creative with the media you implement in your case study. Videos can be a very powerful addition when a case study requires more detailed storytelling.

6. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Shopify and GitHub

GitHub's case study on Shopify is a light read. It addresses client pain points and discusses the different aspects its product considers and improves for clients. It touches on workflow issues, internal systems, automation, and security. It does a great job of representing what one company can do with GitHub.

To drive the point home, the case study features colorful quote callouts from the Shopify team, sharing their insights and perspectives on the partnership, the key issues, and how they were addressed.

Takeaway: Leverage quotes to boost the authoritativeness and trustworthiness of your case study. 

7 . .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Audible and Contentful

Contentful's case study on Audible features almost every element a case study should. It includes not one but two videos and clearly outlines the challenge, solution, and outcome before diving deeper into what Contentful did for Audible. The language is simple, and the writing is heavy with quotes and personal insights.

This case study is a uniquely original experience. The fact that the companies in question are perhaps two of the most creative brands out there may be the reason. I expected nothing short of a detailed analysis, a compelling story, and video content. 

Takeaway: Inject some brand voice into the case study, and create assets that tell the story for you.

8 . .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Zoom and Asana

Asana's case study on Zoom is longer than the average piece and features detailed data on Zoom's growth since 2020. Instead of relying on imagery and graphics, it features several quotes and testimonials. 

It's designed to be direct, informative, and promotional. At some point, the case study reads more like a feature list. There were a few sections that felt a tad too promotional for my liking, but to each their own burrito.

Takeaway: Maintain a balance between promotional and informative. You want to showcase the high-level goals your product helped achieve without losing the reader.

9 . .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Hickies and Mailchimp

I've always been a fan of Mailchimp's comic-like branding, and this case study does an excellent job of sticking to their tradition of making information easy to understand, casual, and inviting.

It features a short video that briefly covers Hickies as a company and Mailchimp's efforts to serve its needs for customer relationships and education processes. Overall, this case study is a concise overview of the partnership that manages to convey success data and tell a story at the same time. What sets it apart is that it does so in a uniquely colorful and brand-consistent manner.

Takeaway: Be concise to provide as much value in as little text as possible.

10. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} NVIDIA and Workday

The gaming industry is notoriously difficult to recruit for, as it requires a very specific set of skills and experience. This case study focuses on how Workday was able to help fill that recruitment gap for NVIDIA, one of the biggest names in the gaming world.

Though it doesn't feature videos or graphics, this case study stood out to me in how it structures information like "key products used" to give readers insight into which tools helped achieve these results.

Takeaway: If your company offers multiple products or services, outline exactly which ones were involved in your case study, so readers can assess each tool.

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I'm personally not a big KFC fan, but that's only because I refuse to eat out of a bucket. My aversion to the bucket format aside, Contentful follows its consistent case study format in this one, outlining challenges, solutions, and outcomes before diving into the nitty-gritty details of the project.

Say what you will about KFC, but their primary product (chicken) does present a unique opportunity for wordplay like "Continuing to march to the beat of a digital-first drum(stick)" or "Delivering deep-fried goodness to every channel."

Takeaway: Inject humor into your case study if there's room for it and if it fits your brand. 

12. .css-12hxxzz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-12hxxzz-Link[data-color='ocean']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='ocean']:hover{outline-color:var(--zds-text-link-hover, #2b2358);}.css-12hxxzz-Link[data-color='ocean']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='white']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='white']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='white']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='primary']{color:var(--zds-text-link, #3d4592);}.css-12hxxzz-Link[data-color='primary']:hover{color:var(--zds-text-link, #2b2358);}.css-12hxxzz-Link[data-color='primary']:focus{color:var(--zds-text-link-hover, #3d4592);outline-color:var(--zds-text-link-hover, #3d4592);}.css-12hxxzz-Link[data-color='secondary']{color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-color='secondary']:hover{color:var(--zds-gray-warm-5, #a8a5a0);}.css-12hxxzz-Link[data-color='secondary']:focus{color:var(--zds-gray-warm-1, #fffdf9);outline-color:var(--zds-gray-warm-1, #fffdf9);}.css-12hxxzz-Link[data-weight='inherit']{font-weight:inherit;}.css-12hxxzz-Link[data-weight='normal']{font-weight:400;}.css-12hxxzz-Link[data-weight='bold']{font-weight:700;} Intuit and Twilio

Twilio does an excellent job of delivering achievements at the very beginning of the case study and going into detail in this two-minute read. While there aren't many graphics, the way quotes from the Intuit team are implemented adds a certain flair to the study and breaks up the sections nicely.

It's simple, concise, and manages to fit a lot of information in easily digestible sections.

Takeaway: Make sure each section is long enough to inform but brief enough to avoid boring readers. Break down information for each section, and don't go into so much detail that you lose the reader halfway through.

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Salesforce created a video that accurately summarizes the key points of the case study. Beyond that, the page itself is very light on content, and sections are as short as one paragraph.

I especially like how information is broken down into "What you need to know," "Why it matters," and "What the difference looks like." I'm not ashamed of being spoon-fed information. When it's structured so well and so simply, it makes for an entertaining read.

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Benchling is an impressive entity in its own right. Biotech R&D and health care nuances go right over my head. But the research and digging I've been doing in the name of these burritos (case studies) revealed that these products are immensely complex. 

And that's precisely why this case study deserves a read—it succeeds at explaining a complex project that readers outside the industry wouldn't know much about.

Takeaway: Simplify complex information, and walk readers through the company's operations and how your business helped streamline them.

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The concision of this case study is refreshing. It features two sections—the challenge and the solution—all in 316 words. This goes to show that your case study doesn't necessarily need to be a four-figure investment with video shoots and studio time. 

Sometimes, the message is simple and short enough to convey in a handful of paragraphs.

Takeaway: Consider what you should include instead of what you can include. Assess the time, resources, and effort you're able and willing to invest in a case study, and choose which elements you want to include from there.

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I may be biased, but I'm a big fan of seeing metrics and achievements represented in branded graphics. It can be a jarring experience to navigate a website, then visit a case study page and feel as though you've gone to a completely different website.

The case study is essentially the summary, and the blog article is the detailed analysis that provides context beyond X achievement or Y goal.

Takeaway: Keep your case study concise and informative. Create other resources to provide context under your blog, media or press, and product pages.

3 case study templates

Now that you've had your fill of case studies (if that's possible), I've got just what you need: an infinite number of case studies, which you can create yourself with these case study templates.

Case study template 1

If you've got a quick hit of stats you want to show off, try this template. The opening section gives space for a short summary and three visually appealing stats you can highlight, followed by a headline and body where you can break the case study down more thoroughly. This one's pretty simple, with only sections for solutions and results, but you can easily continue the formatting to add more sections as needed.

Case study template 2

For a case study template with a little more detail, use this one. Opening with a striking cover page for a quick overview, this one goes on to include context, stakeholders, challenges, multiple quote callouts, and quick-hit stats. 

Case study template 3

Whether you want a little structural variation or just like a nice dark green, this template has similar components to the last template but is designed to help tell a story. Move from the client overview through a description of your company before getting to the details of how you fixed said company's problems.

Tips for writing a case study

Examples are all well and good, but you don't learn how to make a burrito just by watching tutorials on YouTube without knowing what any of the ingredients are. You could , but it probably wouldn't be all that good.

Have an objective: Define your objective by identifying the challenge, solution, and results. Assess your work with the client and focus on the most prominent wins. You're speaking to multiple businesses and industries through the case study, so make sure you know what you want to say to them.

Focus on persuasive data: Growth percentages and measurable results are your best friends. Extract your most compelling data and highlight it in your case study.

Use eye-grabbing graphics: Branded design goes a long way in accurately representing your brand and retaining readers as they review the study. Leverage unique and eye-catching graphics to keep readers engaged. 

Simplify data presentation: Some industries are more complex than others, and sometimes, data can be difficult to understand at a glance. Make sure you present your data in the simplest way possible. Make it concise, informative, and easy to understand.

Use automation to drive results for your case study

A case study example is a source of inspiration you can leverage to determine how to best position your brand's work. Find your unique angle, and refine it over time to help your business stand out. Ask anyone: the best burrito in town doesn't just appear at the number one spot. They find their angle (usually the house sauce) and leverage it to stand out.

Case study FAQ

Got your case study template? Great—it's time to gather the team for an awkward semi-vague data collection task. While you do that, here are some case study quick answers for you to skim through while you contemplate what to call your team meeting.

What is an example of a case study?

An example of a case study is when a software company analyzes its results from a client project and creates a webpage, presentation, or document that focuses on high-level results, challenges, and solutions in an attempt to showcase effectiveness and promote the software.

How do you write a case study?

To write a good case study, you should have an objective, identify persuasive and compelling data, leverage graphics, and simplify data. Case studies typically include an analysis of the challenge, solution, and results of the partnership.

What is the format of a case study?

While case studies don't have a set format, they're often portrayed as reports or essays that inform readers about the partnership and its results. 

Related reading:

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Hachem Ramki

Hachem is a writer and digital marketer from Montreal. After graduating with a degree in English, Hachem spent seven years traveling around the world before moving to Canada. When he's not writing, he enjoys Basketball, Dungeons and Dragons, and playing music for friends and family.

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Methodology

• What Is a Case Study? | Definition, Examples & Methods

What Is a Case Study? | Definition, Examples & Methods

Published on May 8, 2019 by Shona McCombes . Revised on November 20, 2023.

A case study is a detailed study of a specific subject, such as a person, group, place, event, organization, or phenomenon. Case studies are commonly used in social, educational, clinical, and business research.

A case study research design usually involves qualitative methods , but quantitative methods are sometimes also used. Case studies are good for describing , comparing, evaluating and understanding different aspects of a research problem .

Table of contents

When to do a case study, step 1: select a case, step 2: build a theoretical framework, step 3: collect your data, step 4: describe and analyze the case, other interesting articles.

A case study is an appropriate research design when you want to gain concrete, contextual, in-depth knowledge about a specific real-world subject. It allows you to explore the key characteristics, meanings, and implications of the case.

Case studies are often a good choice in a thesis or dissertation . They keep your project focused and manageable when you don’t have the time or resources to do large-scale research.

You might use just one complex case study where you explore a single subject in depth, or conduct multiple case studies to compare and illuminate different aspects of your research problem.

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Once you have developed your problem statement and research questions , you should be ready to choose the specific case that you want to focus on. A good case study should have the potential to:

• Provide new or unexpected insights into the subject
• Challenge or complicate existing assumptions and theories
• Propose practical courses of action to resolve a problem
• Open up new directions for future research

TipIf your research is more practical in nature and aims to simultaneously investigate an issue as you solve it, consider conducting action research instead.

Unlike quantitative or experimental research , a strong case study does not require a random or representative sample. In fact, case studies often deliberately focus on unusual, neglected, or outlying cases which may shed new light on the research problem.

Example of an outlying case studyIn the 1960s the town of Roseto, Pennsylvania was discovered to have extremely low rates of heart disease compared to the US average. It became an important case study for understanding previously neglected causes of heart disease.

However, you can also choose a more common or representative case to exemplify a particular category, experience or phenomenon.

Example of a representative case studyIn the 1920s, two sociologists used Muncie, Indiana as a case study of a typical American city that supposedly exemplified the changing culture of the US at the time.

While case studies focus more on concrete details than general theories, they should usually have some connection with theory in the field. This way the case study is not just an isolated description, but is integrated into existing knowledge about the topic. It might aim to:

• Exemplify a theory by showing how it explains the case under investigation
• Expand on a theory by uncovering new concepts and ideas that need to be incorporated
• Challenge a theory by exploring an outlier case that doesn’t fit with established assumptions

To ensure that your analysis of the case has a solid academic grounding, you should conduct a literature review of sources related to the topic and develop a theoretical framework . This means identifying key concepts and theories to guide your analysis and interpretation.

There are many different research methods you can use to collect data on your subject. Case studies tend to focus on qualitative data using methods such as interviews , observations , and analysis of primary and secondary sources (e.g., newspaper articles, photographs, official records). Sometimes a case study will also collect quantitative data.

Example of a mixed methods case studyFor a case study of a wind farm development in a rural area, you could collect quantitative data on employment rates and business revenue, collect qualitative data on local people’s perceptions and experiences, and analyze local and national media coverage of the development.

The aim is to gain as thorough an understanding as possible of the case and its context.

In writing up the case study, you need to bring together all the relevant aspects to give as complete a picture as possible of the subject.

How you report your findings depends on the type of research you are doing. Some case studies are structured like a standard scientific paper or thesis , with separate sections or chapters for the methods , results and discussion .

Others are written in a more narrative style, aiming to explore the case from various angles and analyze its meanings and implications (for example, by using textual analysis or discourse analysis ).

In all cases, though, make sure to give contextual details about the case, connect it back to the literature and theory, and discuss how it fits into wider patterns or debates.

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

• Normal distribution
• Degrees of freedom
• Null hypothesis
• Discourse analysis
• Control groups
• Mixed methods research
• Non-probability sampling
• Quantitative research
• Ecological validity

Research bias

• Rosenthal effect
• Implicit bias
• Cognitive bias
• Selection bias
• Negativity bias
• Status quo bias

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• Marketing Analytics Software

What Is a Case Study? How to Write, Examples, and Template

In this post

How to write a case study

Case study template, case study examples, types of case studies, what are the benefits of case studies , what are the limitations of case studies , case study vs. testimonial.

In today's marketplace, conveying your product's value through a compelling narrative is crucial to genuinely connecting with your customers.

Your business can use marketing analytics tools to understand what customers want to know about your product. Once you have this information, the next step is to showcase your product and its benefits to your target audience. This strategy involves a mix of data, analysis, and storytelling. Combining these elements allows you to create a narrative that engages your audience. So, how can you do this effectively?

What is a case study? 

A case study is a powerful tool for showcasing a business's success in helping clients achieve their goals. It's a form of storytelling that details real-world scenarios where a business implemented its solutions to deliver positive results for a client.

In this article, we explore the concept of a case study , including its writing process, benefits, various types, challenges, and more.

Understanding how to write a case study is an invaluable skill. You'll need to embrace decision-making – from deciding which customers to feature to designing the best format to make them as engaging as possible.  This can feel overwhelming in a hurry, so let's break it down.

Step 1: Reach out to the target persona

If you've been in business for a while, you have no shortage of happy customers. But w ith limited time and resources, you can't choose everyone.  So, take some time beforehand to flesh out your target buyer personas. 

Once you know precisely who you're targeting, go through your stable of happy customers to find a buyer representative of the audience you're trying to reach. The closer their problems, goals, and industries align, the more your case study will resonate.

What if you have more than one buyer persona? No problem. This is a common situation for companies because buyers comprise an entire committee. You might be marketing to procurement experts, executives, engineers, etc. Try to develop a case study tailored to each key persona. This might be a long-term goal, and that's fine. The better you can personalize the experience for each stakeholder, the easier it is to keep their attention.  

Here are a few considerations to think about before research:

• Products/services of yours the customer uses (and how familiar they are with them)
• The customer's brand recognition in the industry
• Whether the results they've achieved are specific and remarkable
• Whether they've switched from a competitor's product/service
• How closely aligned they are with your target audience

These items are just a jumping-off point as you develop your criteria.  Once you have a list, run each customer through it to determine your top targets. Approach the ones on the top (your "dream" case study subjects) and work your way down as needed.

Who to interview

You should consider interviewing top-level managers or executives because those are high-profile positions. But consider how close they are to your product and its results.

Focusing on an office manager or engineer who uses your product daily would be better. Look for someone with a courtside view of the effects.

The ways to request customer participation in case studies can vary, but certain principles can improve your chances:

• Make it easy for customers to work with you, respecting their valuable time. Be well-prepared and minimize their involvement.
• Emphasize how customers will benefit through increased publicity, revenue opportunities, or recognition for their success. 
• Acknowledge their contributions and showcase their achievements.
• Standardizing the request process with a script incorporating these principles can help your team consistently secure case study approvals and track performance.

Step 2: Prepare for the interview

Case study interviews are like school exams. The more prepared you are for them, the better they turn out. Preparing thoroughly also shows participants that you value their time. You don't waste precious minutes rehashing things you should have already known. You focus on getting the information you need as efficiently as possible.

You can conduct your case study interview in multiple formats, from exchanging emails to in-person interviews. This isn't a trivial decision.  As you'll see in the chart below, each format has its unique advantages and disadvantages. 

You'll also have to consider who will ask and answer the questions during your case study interview. It's wise to consider this while considering the case study format.  The number of participants factors into which format will work best. Pulling off an in-person interview becomes much harder if you're trying to juggle four or five people's busy schedules. Try a video conference instead.

Before interviewing your case study participant, it is crucial to identify the specific questions that need to be asked.  It's essential to thoroughly evaluate your collaboration with the client and understand how your product's contributions impact the company. 

Remember that structuring your case study is akin to crafting a compelling narrative. To achieve this, follow a structured approach:

• Beginning of your story. Delve into the customer's challenge that ultimately led them to do business with you. What were their problems like? What drove them to make a decision finally? Why did they choose you?
• The middle of the case study.  Your audience also wants to know about the experience of working with you. Your customer has taken action to address their problems. What happened once you got on board?
• An ending that makes you the hero.  Describe the specific results your company produced for the customer. How has the customer's business (and life) changed once they implemented your solution?

Sample questions for the case study interview

If you're preparing for a case study interview, here are some sample case study research questions to help you get started:

• What challenges led you to seek a solution?
• When did you realize the need for immediate action? Was there a tipping point?
• How did you decide on the criteria for choosing a B2B solution, and who was involved?
• What set our product or service apart from others you considered?
• How was your experience working with us post-purchase?
• Were there any pleasant surprises or exceeded expectations during our collaboration?
• How smoothly did your team integrate our solution into their workflows?
• How long before you started seeing positive results?
• How have you benefited from our products or services?
• How do you measure the value our product or service provides?

Step 3: Conduct the interview

Preparing for case study interviews can be different from everyday conversations. Here are some tips to keep in mind:

• Create a comfortable atmosphere.  Before diving into the discussion, talk about their business and personal interests. Ensure everyone is at ease, and address any questions or concerns.
• Prioritize key questions.  Lead with your most crucial questions to respect your customer's time. Interview lengths can vary, so starting with the essentials ensures you get the vital information.
• Be flexible.  Case study interviews don't have to be rigid. If your interviewee goes "off script," embrace it. Their spontaneous responses often provide valuable insights.
• Record the interview.  If not conducted via email, ask for permission to record the interview. This lets you focus on the conversation and capture valuable quotes without distractions.

Step 4: Figure out who will create the case study

When creating written case studies for your business, deciding who should handle the writing depends on cost, perspective, and revisions.

Outsourcing might be pricier, but it ensures a professionally crafted outcome. On the other hand, in-house writing has its considerations, including understanding your customers and products. 

Technical expertise and equipment are needed for video case studies, which often leads companies to consider outsourcing due to production and editing costs. 

Tip: When outsourcing work, it's essential to clearly understand pricing details to avoid surprises and unexpected charges during payment.

Step 5: Utilize storytelling

Understanding and applying storytelling elements can make your case studies unforgettable, offering a competitive edge. 

Source: The Framework Bank

Every great study follows a narrative arc (also called a "story arc"). This arc represents how a character faces challenges, struggles against raising stakes, and encounters a formidable obstacle before the tension resolves.

In a case study narrative, consider:

• Exposition. Provide background information about the company, revealing their "old life" before becoming your customer.
• Inciting incident. Highlight the problem that drove the customer to seek a solution, creating a sense of urgency.
• Obstacles (rising action). Describe the customer's journey in researching and evaluating solutions, building tension as they explore options.
• Midpoint. Explain what made the business choose your product or service and what set you apart.
• Climax. Showcase the success achieved with your product.
• Denouement. Describe the customer's transformed business and end with a call-to-action for the reader to take the next step.

Step 6: Design the case study

The adage "Don't judge a book by its cover" is familiar, but people tend to do just that quite often!

A poor layout can deter readers even if you have an outstanding case study. To create an engaging case study, follow these steps:

• Craft a compelling title. Just like you wouldn't read a newspaper article without an eye-catching headline, the same goes for case studies. Start with a title that grabs attention.
• Organize your content. Break down your content into different sections, such as challenges, results, etc. Each section can also include subsections. This case study approach divides the content into manageable portions, preventing readers from feeling overwhelmed by lengthy blocks of text.
• Conciseness is key. Keep your case study as concise as possible. The most compelling case studies are precisely long enough to introduce the customer's challenge, experience with your solution, and outstanding results. Prioritize clarity and omit any sections that may detract from the main storyline.
• Utilize visual elements. To break up text and maintain reader interest, incorporate visual elements like callout boxes, bulleted lists, and sidebars.
• Include charts and images. Summarize results and simplify complex topics by including pictures and charts. Visual aids enhance the overall appeal of your case study.
• Embrace white space. Avoid overwhelming walls of text to prevent reader fatigue. Opt for plenty of white space, use shorter paragraphs, and employ subsections to ensure easy readability and navigation.
• Enhance video case studies. In video case studies, elements like music, fonts, and color grading are pivotal in setting the right tone. Choose music that complements your message and use it strategically throughout your story. Carefully select fonts to convey the desired style, and consider how lighting and color grading can influence the mood. These elements collectively help create the desired tone for your video case study.

Step 7: Edits and revisions

Once you've finished the interview and created your case study, the hardest part is over. Now's the time for editing and revision. This might feel frustrating for impatient B2B marketers, but it can turn good stories into great ones.

Ideally, you'll want to submit your case study through two different rounds of editing and revisions:

• Internal review. Seek feedback from various team members to ensure your case study is captivating and error-free. Gather perspectives from marketing, sales, and those in close contact with customers for well-rounded insights. Use patterns from this feedback to guide revisions and apply lessons to future case studies.
• Customer feedback. Share the case study with customers to make them feel valued and ensure accuracy. Let them review quotes and data points, as they are the "heroes" of the story, and their logos will be prominently featured. This step maintains positive customer relationships.

Case study mistakes to avoid

• Ensure easy access to case studies on your website.
• Spotlight the customer, not just your business.
• Tailor each case study to a specific audience.
• Avoid excessive industry jargon in your content.

Step 8: Publishing

Take a moment to proofread your case study one more time carefully. Even if you're reasonably confident you've caught all the errors, it's always a good idea to check. Your case study will be a valuable marketing tool for years, so it's worth the investment to ensure it's flawless. Once done, your case study is all set to go!

Consider sharing a copy of the completed case study with your customer as a thoughtful gesture. They'll likely appreciate it; some may want to keep it for their records. After all, your case study wouldn't have been possible without their help, and they deserve to see the final product.

Where you publish your case study depends on its role in your overall marketing strategy. If you want to reach as many people as possible with your case study, consider publishing it on your website and social media platforms. 

Tip: Some companies prefer to keep their case studies exclusive, making them available only to those who request them. This approach is often taken to control access to valuable information and to engage more deeply with potential customers who express specific interests. It can create a sense of exclusivity and encourage interested parties to engage directly with the company.

Step 9: Case study distribution

When sharing individual case studies, concentrate on reaching the audience with the most influence on purchasing decisions

Here are some common distribution channels to consider:

• Sales teams. Share case studies to enhance customer interactions, retention , and upselling among your sales and customer success teams. Keep them updated on new studies and offer easily accessible formats like PDFs or landing page links.
• Company website. Feature case studies on your website to establish authority and provide valuable information to potential buyers. Organize them by categories such as location, size, industry, challenges, and products or services used for effective presentation.
• Events. Use live events like conferences and webinars to distribute printed case study copies, showcase video case studies at trade show booths, and conclude webinars with links to your case study library. This creative approach blends personal interactions with compelling content.
• Industry journalists. Engage relevant industry journalists to gain media coverage by identifying suitable publications and journalists covering related topics. Building relationships is vital, and platforms like HARO (Help A Reporter Out) can facilitate connections, especially if your competitors have received coverage before.

Want to learn more about Marketing Analytics Software? Explore Marketing Analytics products.

It can seem daunting to transform the information you've gathered into a cohesive narrative.  We’ve created a versatile case study template that can serve as a solid starting point for your case study.

With this template, your business can explore any solutions offered to satisfied customers, covering their background, the factors that led them to choose your services, and their outcomes.

The template boasts a straightforward design, featuring distinct sections that guide you in effectively narrating your and your customer's story. However, remember that limitless ways to showcase your business's accomplishments exist.

To assist you in this process, here's a breakdown of the recommended sections to include in a case study:

• Title.  Keep it concise. Create a brief yet engaging project title summarizing your work with your subject. Consider your title like a newspaper headline; do it well, and readers will want to learn more. 
• Subtitle . Use this section to elaborate on the achievement briefly. Make it creative and catchy to engage your audience.
• Executive summary.  Use this as an overview of the story, followed by 2-3 bullet points highlighting key success metrics.
• Challenges and objectives. This section describes the customer's challenges before adopting your product or service, along with the goals or objectives they sought to achieve.
• How product/service helped.  A paragraph explaining how your product or service addressed their problem.
• Testimonials.  Incorporate short quotes or statements from the individuals involved in the case study, sharing their perspectives and experiences.
• Supporting visuals.  Include one or two impactful visuals, such as graphs, infographics, or highlighted metrics, that reinforce the narrative.
• Call to action (CTA).  If you do your job well, your audience will read (or watch) your case studies from beginning to end. They are interested in everything you've said. Now, what's the next step they should take to continue their relationship with you? Give people a simple action they can complete. 

Case studies are proven marketing strategies in a wide variety of B2B industries. Here are just a few examples of a case study:

• Amazon Web Services, Inc.  provides companies with cloud computing platforms and APIs on a metered, pay-as-you-go basis. This case study example illustrates the benefits Thomson Reuters experienced using AWS.
• LinkedIn Marketing Solutions combines captivating visuals with measurable results in the case study created for BlackRock. This case study illustrates how LinkedIn has contributed to the growth of BlackRock's brand awareness over the years. 
• Salesforce , a sales and marketing automation SaaS solutions provider, seamlessly integrates written and visual elements to convey its success stories with Pepe Jeans. This case study effectively demonstrates how Pepe Jeans is captivating online shoppers with immersive and context-driven e-commerce experiences through Salesforce.
• HubSpot offers a combination of sales and marketing tools. Their case study demonstrates the effectiveness of its all-in-one solutions. These typically focus on a particular client's journey and how HubSpot helped them achieve significant results.

There are two different types of case studies that businesses might utilize:

Written case studies 

Written case studies offer readers a clear visual representation of data, which helps them quickly identify and focus on the information that matters most. 

Printed versions of case studies find their place at events like trade shows, where they serve as valuable sales collateral to engage prospective clients.  Even in the digital age, many businesses provide case studies in PDF format or as web-based landing pages, improving accessibility for their audience. 

Note: Landing pages , in particular, offer the flexibility to incorporate rich multimedia content, including images, charts, and videos. This flexibility in design makes landing pages an attractive choice for presenting detailed content to the audience.

Written case study advantages

Here are several significant advantages to leveraging case studies for your company:

• Hyperlink accessibility.  Whether in PDF or landing page format, written case studies allow for embedded hyperlinks, offering prospects easy access to additional information and contact forms.
• Flexible engagement.  Unlike video case studies, which may demand in-person arrangements, written case studies can be conducted via phone or video streaming, reducing customer commitment and simplifying scheduling.
• Efficient scanning . Well-structured written case studies with a scannable format cater to time-strapped professionals. Charts and callout boxes with key statistics enhance the ease of information retrieval.
• Printable for offline use.  Written case studies can be effortlessly printed and distributed at trade shows, sales meetings, and live events. This tangible format accommodates those who prefer physical materials and provides versatility in outreach, unlike video content, which is less portable.

Written case study disadvantages

Here are some drawbacks associated with the use of case studies:

• Reduced emotional impact.  Written content lacks the emotional punch of live video testimonials, which engage more senses and emotions, making a stronger connection.
• Consider time investment.  Creating a compelling case study involves editing, proofreading, and design collaboration, with multiple revisions commonly required before publication.
• Challenges in maintaining attention.  Attention spans are short in today's ad-saturated world. Using graphics, infographics, and videos more often is more powerful to incite the right emotions in customers.

Video case studies

Video case studies are the latest marketing trend. Unlike in the past, when video production was costly, today's tools make it more accessible for users to create and edit their videos. However, specific technical requirements still apply.

Like written case studies, video case studies delve into a specific customer's challenges and how your business provides solutions. Yet, the video offers a more profound connection by showcasing the person who faced and conquered the problem.

Video case studies can boost brand exposure when shared on platforms like YouTube. For example, Slack's engaging case study video with Sandwich Video illustrates how Slack transformed its workflow and adds humor, which can be challenging in written case studies focused on factual evidence.

Source : YouTube

This video case study has garnered nearly a million views on YouTube.

Video case study advantages

Here are some of the top advantages of video case studies. While video testimonials take more time, the payoff can be worth it. 

• Humanization and authenticity.  Video case studies connect viewers with real people, adding authenticity and fostering a stronger emotional connection.
• Engaging multiple senses.  They engage both auditory and visual senses, enhancing credibility and emotional impact. Charts, statistics, and images can also be incorporated.
• Broad distribution.  Videos can be shared on websites, YouTube, social media, and more, reaching diverse audiences and boosting engagement, especially on social platforms.

Video case study disadvantages

Before fully committing to video testimonials, consider the following:

• Technical expertise and equipment.  Video production requires technical know-how and equipment, which can be costly. Skilled video editing is essential to maintain a professional image. While technology advances, producing amateurish videos may harm your brand's perception.
• Viewer convenience.  Some prospects prefer written formats due to faster reading and ease of navigation. Video typically requires sound, which can be inconvenient for viewers in specific settings. Many people may not have headphones readily available to watch your content.
• Demand on case study participants.  On-camera interviews can be time-consuming and location-dependent, making scheduling challenging for case study participants. Additionally, being on screen for a global audience may create insecurities and performance pressure.
• Comfort on camera.  Not everyone feels at ease on camera. Nervousness or a different on-screen persona can impact the effectiveness of the testimonial, and discovering this late in the process can be problematic.

Written or video case studies: Which is right for you?

Now that you know the pros and cons of each, how do you choose which is right for you?

One of the most significant factors in doing video case studies can be the technical expertise and equipment required for a high level of production quality. Whether you have the budget to do this in-house or hire a production company can be one of the major deciding factors.

Still, written or video doesn't have to be an either-or decision. Some B2B companies are using both formats. They can complement each other nicely, minimizing the downsides mentioned above and reaching your potential customers where they prefer.

Let's say you're selling IT network security. What you offer is invaluable but complicated. You could create a short (three- or four-minute) video case study to get attention and touch on the significant benefits of your services. This whets the viewer's appetite for more information, which they could find in a written case study that supplements the video.

Should you decide to test the water in video case studies, test their effectiveness among your target audience. See how well they work for your company and sales team. And, just like a written case study, you can always find ways to improve your process as you continue exploring video case studies.

Case studies offer several distinctive advantages, making them an ideal tool for businesses to market their products to customers. However, their benefits extend beyond these qualities. 

Here's an overview of all the advantages of case studies:

Valuable sales support

Case studies serve as a valuable resource for your sales endeavors. Buyers frequently require additional information before finalizing a purchase decision. These studies provide concrete evidence of your product or service's effectiveness, assisting your sales representatives in closing deals more efficiently, especially with customers with lingering uncertainties.

Validating your value

Case studies serve as evidence of your product or service's worth or value proposition , playing a role in building trust with potential customers. By showcasing successful partnerships, you make it easier for prospects to place trust in your offerings. This effect is particularly notable when the featured customer holds a reputable status.

Unique and engaging content

By working closely with your customer success teams, you can uncover various customer stories that resonate with different prospects. Case studies allow marketers to shape product features and benefits into compelling narratives. 

Each case study's distinctiveness, mirroring the uniqueness of every customer's journey, makes them a valuable source of relatable and engaging content. Storytelling possesses the unique ability to connect with audiences on an emotional level, a dimension that statistics alone often cannot achieve. 

Spotlighting valuable customers

Case studies provide a valuable platform for showcasing your esteemed customers. Featuring them in these studies offers a chance to give them visibility and express your gratitude for the partnership, which can enhance customer loyalty . Depending on the company you are writing about, it can also demonstrate the caliber of your business.

Now is the time to get SaaS-y news and entertainment with our 5-minute newsletter,   G2 Tea , featuring inspiring leaders, hot takes, and bold predictions. Subscribe below!

It's important to consider limitations when designing and interpreting the results of case studies. Here's an overview of the limitations of case studies:

Challenges in replication

Case studies often focus on specific individuals, organizations, or situations, making generalizing their findings to broader populations or contexts challenging. 

Time-intensive process

Case studies require a significant time investment. The extensive data collection process and the need for comprehensive analysis can be demanding, especially for researchers who are new to this method.

Potential for errors

Case studies can be influenced by memory and judgment, potentially leading to inaccuracies. Depending on human memory to reconstruct a case's history may result in variations and potential inconsistencies in how individuals recall past events. Additionally, bias may emerge, as individuals tend to prioritize what they consider most significant, which could limit their consideration of alternative perspectives.

Challenges in verification

Confirming results through additional research can present difficulties. This complexity arises from the need for detailed and extensive data in the initial creation of a case study. Consequently, this process requires significant effort and a substantial amount of time.

While looking at case studies, you may have noticed a quote. This type of quote is considered a testimonial, a key element of case studies.

If a customer's quote proves that your brand does what it says it will or performs as expected, you may wonder: 'Aren't customer testimonials and case studies the same thing?' Not exactly.

Testimonials are brief endorsements designed to establish trust on a broad scale. In contrast, case studies are detailed narratives that offer a comprehensive understanding of how a product or service addresses a specific problem, targeting a more focused audience. 

Crafting case studies requires more resources and a structured approach than testimonials. Your selection between the two depends on your marketing objectives and the complexity of your product or service.

Case in point!

Case studies are among a company's most effective tools. You're  well on your way to mastering them.

Today's buyers are tackling much of the case study research methodology independently. Many are understandably skeptical before making a buying decision. By connecting them with multiple case studies, you can prove you've gotten the results you say you can. There's hardly a better way to boost your credibility and persuade them to consider your solution.

Case study formats and distribution methods might change as technology evolves. However, the fundamentals that make them effective—knowing how to choose subjects, conduct interviews, and structure everything to get attention—will serve you for as long as you're in business. 

We covered a ton of concepts and resources, so go ahead and bookmark this page. You can refer to it whenever you have questions or need a refresher.

Dive into market research to uncover customer preferences and spending habits.

Kristen McCabe

Kristen’s is a former senior content marketing specialist at G2. Her global marketing experience extends from Australia to Chicago, with expertise in B2B and B2C industries. Specializing in content, conversions, and events, Kristen spends her time outside of work time acting, learning nature photography, and joining in the #instadog fun with her Pug/Jack Russell, Bella. (she/her/hers)

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Home Blog Business How to Present a Case Study: Examples and Best Practices

How to Present a Case Study: Examples and Best Practices

Marketers, consultants, salespeople, and all other types of business managers often use case study analysis to highlight a success story, showing how an exciting problem can be or was addressed. But how do you create a compelling case study and then turn it into a memorable presentation? Get a lowdown from this post! 

Table of Content s

Why Case Studies are a Popular Marketing Technique 

Popular case study format types, how to write a case study: a 4-step framework, how to do a case study presentation: 3 proven tips, how long should a case study be, final tip: use compelling presentation visuals, business case study examples, what is a case study .

Let’s start with this great case study definition by the University of South Caroline:

In the social sciences, the term case study refers to both a method of analysis and a specific research design for examining a problem, both of which can generalize findings across populations.

In simpler terms — a case study is investigative research into a problem aimed at presenting or highlighting solution(s) to the analyzed issues.

A standard business case study provides insights into:

• General business/market conditions 
• The main problem faced 
• Methods applied 
• The outcomes gained using a specific tool or approach

Case studies (also called case reports) are also used in clinical settings to analyze patient outcomes outside of the business realm. 

But this is a topic for another time. In this post, we’ll focus on teaching you how to write and present a case study, plus share several case study PowerPoint templates and design tips! 

Besides presenting a solution to an internal issue, case studies are often used as a content marketing technique . According to a 2020 Content Marketing Institute report, 69% of B2B marketers use case studies as part of their marketing mix.

A case study informs the reader about a possible solution and soft-sells the results, which can be achieved with your help (e.g., by using your software or by partnering with your specialist). 

For the above purpose, case studies work like a charm. Per the same report: 

• For 9% of marketers, case studies are also the best method for nurturing leads. 
• 23% admit that case studies are beneficial for improving conversions. 

Moreover, case studies also help improve your brand’s credibility, especially in the current fake news landscape and dubious claims made without proper credit. 

Ultimately, case studies naturally help build up more compelling, relatable stories and showcase your product benefits through the prism of extra social proof, courtesy of the case study subject. 

Most case studies come either as a slide deck or as a downloadable PDF document. 

Typically, you have several options to distribute your case study for maximum reach:

• Case study presentations — in-person, virtual, or pre-recorded, there are many times when a case study presentation comes in handy. For example, during client workshops, sales pitches, networking events, conferences, trade shows, etc. 
• Dedicated website page — highlighting case study examples on your website is a great way to convert middle-on-the-funnel prospects. Google’s Think With Google case study section is a great example of a web case study design done right.

• Blog case studies — data-driven storytelling is a staunch way to stand apart from your competition by providing unique insights, no other brand can tell. 
• Video case studies — video is a great medium for showcasing more complex business cases and celebrating customer success stories.

Once you decide on your case study format, the next step is collecting data and then translating it into a storyline. There are different case study methods and research approaches you can use to procure data. 

But let’s say you already have all your facts straight and need to organize them in a clean copy for your presentation deck. Here’s how you should do it. 

1. Identify the Problem 

Every compelling case study research starts with a problem statement definition. While in business settings, there’s no need to explain your methodology in-depth; you should still open your presentation with a quick problem recap slide.

Be sure to mention: 

• What’s the purpose of the case study? What will the audience learn? 
• Set the scene. Explain the before, aka the problems someone was facing. 
• Advertise the main issues and findings without highlighting specific details.

The above information should nicely fit in several paragraphs or 2-3 case study template slides

2. Explain the Solution 

The bulk of your case study copy and presentation slides should focus on the provided solution(s). This is the time to speak at length about how the subject went from before to the glorious after. 

Here are some writing prompts to help you articulate this better:

• State the subject’s main objective and goals. What outcomes were they after?
• Explain the main solution(s) provided. What was done? Why this, but not that? 
• Mention if they tried any alternatives. Why did those work? Why were you better?

This part may take the longest to write. Don’t rush it and reiterate several times. Sprinkle in some powerful words and catchphrases to make your copy more compelling.

3. Collect Testimonials 

Persuasive case studies feature the voice of customer (VoC) data — first-party testimonials and assessments of how well the solution works. These provide extra social proof and credibility to all the claims you are making. 

So plan and schedule interviews with your subjects to collect their input and testimonials. Also, design your case study interview questions in a way that lets you obtain quantifiable results.

4. Package The Information in a Slide Deck

Once you have a rough first draft, try different business case templates and designs to see how these help structure all the available information. 

As a rule of thumb, try to keep one big idea per slide. If you are talking about a solution, first present the general bullet points. Then give each solution a separate slide where you’ll provide more context and perhaps share some quantifiable results.

For example, if you look at case study presentation examples from AWS like this one about Stripe , you’ll notice that the slide deck has few texts and really focuses on the big picture, while the speaker provides extra context.

Need some extra case study presentation design help? Download our Business Case Study PowerPoint template with 100% editable slides. 

Your spoken presentation (and public speaking skills ) are equally if not more important than the case study copy and slide deck. To make a strong case study, follow these quick techniques. Alternatively, you can learn how to present a business case here.

Focus on Telling a Great Story

A case study is a story of overcoming a challenge, and achieving something grand. Your delivery should reflect that. Step away from the standard “features => benefits” sales formula. Instead, make your customer the hero of the study. Describe the road they went through and how you’ve helped them succeed. 

The premises of your story can be as simple as:

• Help with overcoming a hurdle
• Gaining major impact
• Reaching a new milestone
• Solving a persisting issue no one else code 

Based on the above, create a clear story arc. Show where your hero started. Then explain what type of journey they went through. Inject some emotions into the mix to make your narrative more relatable and memorable. 

Experiment with Copywriting Formulas 

Copywriting is the art and science of organizing words into compelling and persuasive combinations that help readers retain the right ideas. 

To ensure that the audience retains the right takeaways from your case study presentation, you can try using some of the classic copywriting formulas to structure your delivery. These include:

• AIDCA — short for A ttention, I nterest, D esire, C onviction, and A ction. First, grab the audience’s attention by addressing the major problem. Next, pique their interest with some teaser facts. Spark their desire by showing that you know the right way out. Then, show a conviction that you know how to solve the issue—finally, prompt follow-up action such as contacting you to learn more. 
• PADS — is short for Problem, Agitation, Discredit, or Solution. This is more of a sales approach to case study narration. Again, you start with a problem, agitate about its importance, discredit why other solutions won’t cut it, and then present your option. 
• 4Ps — short for P roblem, P romise, P roof, P roposal. This is a middle-ground option that prioritizes storytelling over hard pitches. Set the scene first with a problem. Then make a promise of how you can solve it. Show proof in the form of numbers, testimonials, and different scenarios. Round it up with a proposal for getting the same outcomes. 

Take an Emotion-Inducing Perspective

The key to building a strong rapport with an audience is showing that you are one of them and fully understand what they are going through. 

One of the ways to build this connection is by speaking from an emotion-inducing perspective. This is best illustrated with an example: 

• A business owner went to the bank
• A business owner came into a bank branch 

In the second case, the wording prompts listeners to paint a mental picture from the perspective of the bank employees — a role you’d like them to relate to. By placing your audience in the right visual perspective, you can make them more receptive to your pitches. 

One common question that arises when creating a case study is determining its length. The length of a case study can vary depending on the complexity of the problem and the level of detail you want to provide. Here are some general guidelines to help you decide how long your case study should be:

• Concise and Informative: A good case study should be concise and to the point. Avoid unnecessary fluff and filler content. Focus on providing valuable information and insights.
• Tailor to Your Audience: Consider your target audience when deciding the length. If you’re presenting to a technical audience, you might include more in-depth technical details. For a non-technical audience, keep it more high-level and accessible.
• Cover Key Points: Ensure that your case study covers the key points effectively. These include the problem statement, the solution, and the outcomes. Provide enough information for the reader to understand the context and the significance of your case.
• Visuals: Visual elements such as charts, graphs, images, and diagrams can help convey information more effectively. Use visuals to supplement your written content and make complex information easier to understand.
• Engagement: Keep your audience engaged. A case study that is too long may lose the reader’s interest. Make sure the content is engaging and holds the reader’s attention throughout.
• Consider the Format: Depending on the format you choose (e.g., written document, presentation, video), the ideal length may vary. For written case studies, aim for a length that can be easily read in one sitting.

In general, a written case study for business purposes often falls in the range of 1,000 to 2,000 words. However, this is not a strict rule, and the length can be shorter or longer based on the factors mentioned above.

Our brain is wired to process images much faster than text. So when you are presenting a case study, always look for an opportunity to tie in some illustrations such as: 

• A product demo/preview
• Processes chart 
• Call-out quotes or numbers
• Custom illustrations or graphics 
• Customer or team headshots 

Use icons to minimize the volume of text. Also, opt for readable fonts that can look good in a smaller size too.

To better understand how to create an effective business case study, let’s explore some examples of successful case studies:

Apple Inc.: Apple’s case study on the launch of the iPhone is a classic example. It covers the problem of a changing mobile phone market, the innovative solution (the iPhone), and the outstanding outcomes, such as market dominance and increased revenue.

Tesla, Inc.: Tesla’s case study on electric vehicles and sustainable transportation is another compelling example. It addresses the problem of environmental concerns and the need for sustainable transportation solutions. The case study highlights Tesla’s electric cars as the solution and showcases the positive impact on reducing carbon emissions.

Amazon.com: Amazon’s case study on customer-centricity is a great illustration of how the company transformed the e-commerce industry. It discusses the problem of customer dissatisfaction with traditional retail, Amazon’s customer-focused approach as the solution, and the remarkable outcomes in terms of customer loyalty and market growth.

Coca-Cola: Coca-Cola’s case study on brand evolution is a valuable example. It outlines the challenge of adapting to changing consumer preferences and demographics. The case study demonstrates how Coca-Cola continually reinvented its brand to stay relevant and succeed in the global market.

Airbnb: Airbnb’s case study on the sharing economy is an intriguing example. It addresses the problem of travelers seeking unique and affordable accommodations. The case study presents Airbnb’s platform as the solution and highlights its impact on the hospitality industry and the sharing economy.

These examples showcase the diversity of case studies in the business world and how they effectively communicate problems, solutions, and outcomes. When creating your own business case study, use these examples as inspiration and tailor your approach to your specific industry and target audience.

Finally, practice your case study presentation several times — solo and together with your team — to collect feedback and make last-minute refinements! 

1. Business Case Study PowerPoint Template

To efficiently create a Business Case Study it’s important to ask all the right questions and document everything necessary, therefore this PowerPoint Template will provide all the sections you need.

Use This Template

2. Medical Case Study PowerPoint Template

3. Medical Infographics PowerPoint Templates

4. Success Story PowerPoint Template

5. Detective Research PowerPoint Template

6. Animated Clinical Study PowerPoint Templates

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Home » Background of The Study – Examples and Writing Guide

Background of The Study – Examples and Writing Guide

Table of Contents

Background of The Study

Definition:

Background of the study refers to the context, circumstances, and history that led to the research problem or topic being studied. It provides the reader with a comprehensive understanding of the subject matter and the significance of the study.

The background of the study usually includes a discussion of the relevant literature, the gap in knowledge or understanding, and the research questions or hypotheses to be addressed. It also highlights the importance of the research topic and its potential contributions to the field. A well-written background of the study sets the stage for the research and helps the reader to appreciate the need for the study and its potential significance.

How to Write Background of The Study

Here are some steps to help you write the background of the study:

Identify the Research Problem

Start by identifying the research problem you are trying to address. This problem should be significant and relevant to your field of study.

Provide Context

Once you have identified the research problem, provide some context. This could include the historical, social, or political context of the problem.

Review Literature

Conduct a thorough review of the existing literature on the topic. This will help you understand what has been studied and what gaps exist in the current research.

Identify Research Gap

Based on your literature review, identify the gap in knowledge or understanding that your research aims to address. This gap will be the focus of your research question or hypothesis.

State Objectives

Clearly state the objectives of your research . These should be specific, measurable, achievable, relevant, and time-bound (SMART).

Discuss Significance

Explain the significance of your research. This could include its potential impact on theory , practice, policy, or society.

Finally, summarize the key points of the background of the study. This will help the reader understand the research problem, its context, and its significance.

How to Write Background of The Study in Proposal

The background of the study is an essential part of any proposal as it sets the stage for the research project and provides the context and justification for why the research is needed. Here are the steps to write a compelling background of the study in your proposal:

• Identify the problem: Clearly state the research problem or gap in the current knowledge that you intend to address through your research.
• Provide context: Provide a brief overview of the research area and highlight its significance in the field.
• Review literature: Summarize the relevant literature related to the research problem and provide a critical evaluation of the current state of knowledge.
• Identify gaps : Identify the gaps or limitations in the existing literature and explain how your research will contribute to filling these gaps.
• Justify the study : Explain why your research is important and what practical or theoretical contributions it can make to the field.
• Highlight objectives: Clearly state the objectives of the study and how they relate to the research problem.
• Discuss methodology: Provide an overview of the methodology you will use to collect and analyze data, and explain why it is appropriate for the research problem.
• Conclude : Summarize the key points of the background of the study and explain how they support your research proposal.

How to Write Background of The Study In Thesis

The background of the study is a critical component of a thesis as it provides context for the research problem, rationale for conducting the study, and the significance of the research. Here are some steps to help you write a strong background of the study:

• Identify the research problem : Start by identifying the research problem that your thesis is addressing. What is the issue that you are trying to solve or explore? Be specific and concise in your problem statement.
• Review the literature: Conduct a thorough review of the relevant literature on the topic. This should include scholarly articles, books, and other sources that are directly related to your research question.
• I dentify gaps in the literature: After reviewing the literature, identify any gaps in the existing research. What questions remain unanswered? What areas have not been explored? This will help you to establish the need for your research.
• Establish the significance of the research: Clearly state the significance of your research. Why is it important to address this research problem? What are the potential implications of your research? How will it contribute to the field?
• Provide an overview of the research design: Provide an overview of the research design and methodology that you will be using in your study. This should include a brief explanation of the research approach, data collection methods, and data analysis techniques.
• State the research objectives and research questions: Clearly state the research objectives and research questions that your study aims to answer. These should be specific, measurable, achievable, relevant, and time-bound.
• Summarize the chapter: Summarize the chapter by highlighting the key points and linking them back to the research problem, significance of the study, and research questions.

How to Write Background of The Study in Research Paper

Here are the steps to write the background of the study in a research paper:

• Identify the research problem: Start by identifying the research problem that your study aims to address. This can be a particular issue, a gap in the literature, or a need for further investigation.
• Conduct a literature review: Conduct a thorough literature review to gather information on the topic, identify existing studies, and understand the current state of research. This will help you identify the gap in the literature that your study aims to fill.
• Explain the significance of the study: Explain why your study is important and why it is necessary. This can include the potential impact on the field, the importance to society, or the need to address a particular issue.
• Provide context: Provide context for the research problem by discussing the broader social, economic, or political context that the study is situated in. This can help the reader understand the relevance of the study and its potential implications.
• State the research questions and objectives: State the research questions and objectives that your study aims to address. This will help the reader understand the scope of the study and its purpose.
• Summarize the methodology : Briefly summarize the methodology you used to conduct the study, including the data collection and analysis methods. This can help the reader understand how the study was conducted and its reliability.

Examples of Background of The Study

Here are some examples of the background of the study:

Problem : The prevalence of obesity among children in the United States has reached alarming levels, with nearly one in five children classified as obese.

Significance : Obesity in childhood is associated with numerous negative health outcomes, including increased risk of type 2 diabetes, cardiovascular disease, and certain cancers.

Gap in knowledge : Despite efforts to address the obesity epidemic, rates continue to rise. There is a need for effective interventions that target the unique needs of children and their families.

Problem : The use of antibiotics in agriculture has contributed to the development of antibiotic-resistant bacteria, which poses a significant threat to human health.

Significance : Antibiotic-resistant infections are responsible for thousands of deaths each year and are a major public health concern.

Gap in knowledge: While there is a growing body of research on the use of antibiotics in agriculture, there is still much to be learned about the mechanisms of resistance and the most effective strategies for reducing antibiotic use.

Edxample 3:

Problem : Many low-income communities lack access to healthy food options, leading to high rates of food insecurity and diet-related diseases.

Significance : Poor nutrition is a major contributor to chronic diseases such as obesity, type 2 diabetes, and cardiovascular disease.

Gap in knowledge : While there have been efforts to address food insecurity, there is a need for more research on the barriers to accessing healthy food in low-income communities and effective strategies for increasing access.

Examples of Background of The Study In Research

Here are some real-life examples of how the background of the study can be written in different fields of study:

Example 1 : “There has been a significant increase in the incidence of diabetes in recent years. This has led to an increased demand for effective diabetes management strategies. The purpose of this study is to evaluate the effectiveness of a new diabetes management program in improving patient outcomes.”

Example 2 : “The use of social media has become increasingly prevalent in modern society. Despite its popularity, little is known about the effects of social media use on mental health. This study aims to investigate the relationship between social media use and mental health in young adults.”

Example 3: “Despite significant advancements in cancer treatment, the survival rate for patients with pancreatic cancer remains low. The purpose of this study is to identify potential biomarkers that can be used to improve early detection and treatment of pancreatic cancer.”

Examples of Background of The Study in Proposal

Here are some real-time examples of the background of the study in a proposal:

Example 1 : The prevalence of mental health issues among university students has been increasing over the past decade. This study aims to investigate the causes and impacts of mental health issues on academic performance and wellbeing.

Example 2 : Climate change is a global issue that has significant implications for agriculture in developing countries. This study aims to examine the adaptive capacity of smallholder farmers to climate change and identify effective strategies to enhance their resilience.

Example 3 : The use of social media in political campaigns has become increasingly common in recent years. This study aims to analyze the effectiveness of social media campaigns in mobilizing young voters and influencing their voting behavior.

Example 4 : Employee turnover is a major challenge for organizations, especially in the service sector. This study aims to identify the key factors that influence employee turnover in the hospitality industry and explore effective strategies for reducing turnover rates.

Examples of Background of The Study in Thesis

Here are some real-time examples of the background of the study in the thesis:

Example 1 : “Women’s participation in the workforce has increased significantly over the past few decades. However, women continue to be underrepresented in leadership positions, particularly in male-dominated industries such as technology. This study aims to examine the factors that contribute to the underrepresentation of women in leadership roles in the technology industry, with a focus on organizational culture and gender bias.”

Example 2 : “Mental health is a critical component of overall health and well-being. Despite increased awareness of the importance of mental health, there are still significant gaps in access to mental health services, particularly in low-income and rural communities. This study aims to evaluate the effectiveness of a community-based mental health intervention in improving mental health outcomes in underserved populations.”

Example 3: “The use of technology in education has become increasingly widespread, with many schools adopting online learning platforms and digital resources. However, there is limited research on the impact of technology on student learning outcomes and engagement. This study aims to explore the relationship between technology use and academic achievement among middle school students, as well as the factors that mediate this relationship.”

Examples of Background of The Study in Research Paper

Here are some examples of how the background of the study can be written in various fields:

Example 1: The prevalence of obesity has been on the rise globally, with the World Health Organization reporting that approximately 650 million adults were obese in 2016. Obesity is a major risk factor for several chronic diseases such as diabetes, cardiovascular diseases, and cancer. In recent years, several interventions have been proposed to address this issue, including lifestyle changes, pharmacotherapy, and bariatric surgery. However, there is a lack of consensus on the most effective intervention for obesity management. This study aims to investigate the efficacy of different interventions for obesity management and identify the most effective one.

Example 2: Antibiotic resistance has become a major public health threat worldwide. Infections caused by antibiotic-resistant bacteria are associated with longer hospital stays, higher healthcare costs, and increased mortality. The inappropriate use of antibiotics is one of the main factors contributing to the development of antibiotic resistance. Despite numerous efforts to promote the rational use of antibiotics, studies have shown that many healthcare providers continue to prescribe antibiotics inappropriately. This study aims to explore the factors influencing healthcare providers’ prescribing behavior and identify strategies to improve antibiotic prescribing practices.

Example 3: Social media has become an integral part of modern communication, with millions of people worldwide using platforms such as Facebook, Twitter, and Instagram. Social media has several advantages, including facilitating communication, connecting people, and disseminating information. However, social media use has also been associated with several negative outcomes, including cyberbullying, addiction, and mental health problems. This study aims to investigate the impact of social media use on mental health and identify the factors that mediate this relationship.

Purpose of Background of The Study

The primary purpose of the background of the study is to help the reader understand the rationale for the research by presenting the historical, theoretical, and empirical background of the problem.

More specifically, the background of the study aims to:

• Provide a clear understanding of the research problem and its context.
• Identify the gap in knowledge that the study intends to fill.
• Establish the significance of the research problem and its potential contribution to the field.
• Highlight the key concepts, theories, and research findings related to the problem.
• Provide a rationale for the research questions or hypotheses and the research design.
• Identify the limitations and scope of the study.

When to Write Background of The Study

The background of the study should be written early on in the research process, ideally before the research design is finalized and data collection begins. This allows the researcher to clearly articulate the rationale for the study and establish a strong foundation for the research.

The background of the study typically comes after the introduction but before the literature review section. It should provide an overview of the research problem and its context, and also introduce the key concepts, theories, and research findings related to the problem.

Writing the background of the study early on in the research process also helps to identify potential gaps in knowledge and areas for further investigation, which can guide the development of the research questions or hypotheses and the research design. By establishing the significance of the research problem and its potential contribution to the field, the background of the study can also help to justify the research and secure funding or support from stakeholders.

Advantage of Background of The Study

The background of the study has several advantages, including:

• Provides context: The background of the study provides context for the research problem by highlighting the historical, theoretical, and empirical background of the problem. This allows the reader to understand the research problem in its broader context and appreciate its significance.
• Identifies gaps in knowledge: By reviewing the existing literature related to the research problem, the background of the study can identify gaps in knowledge that the study intends to fill. This helps to establish the novelty and originality of the research and its potential contribution to the field.
• Justifies the research : The background of the study helps to justify the research by demonstrating its significance and potential impact. This can be useful in securing funding or support for the research.
• Guides the research design: The background of the study can guide the development of the research questions or hypotheses and the research design by identifying key concepts, theories, and research findings related to the problem. This ensures that the research is grounded in existing knowledge and is designed to address the research problem effectively.
• Establishes credibility: By demonstrating the researcher’s knowledge of the field and the research problem, the background of the study can establish the researcher’s credibility and expertise, which can enhance the trustworthiness and validity of the research.

Disadvantages of Background of The Study

Some Disadvantages of Background of The Study are as follows:

• Time-consuming : Writing a comprehensive background of the study can be time-consuming, especially if the research problem is complex and multifaceted. This can delay the research process and impact the timeline for completing the study.
• Repetitive: The background of the study can sometimes be repetitive, as it often involves summarizing existing research and theories related to the research problem. This can be tedious for the reader and may make the section less engaging.
• Limitations of existing research: The background of the study can reveal the limitations of existing research related to the problem. This can create challenges for the researcher in developing research questions or hypotheses that address the gaps in knowledge identified in the background of the study.
• Bias : The researcher’s biases and perspectives can influence the content and tone of the background of the study. This can impact the reader’s perception of the research problem and may influence the validity of the research.
• Accessibility: Accessing and reviewing the literature related to the research problem can be challenging, especially if the researcher does not have access to a comprehensive database or if the literature is not available in the researcher’s language. This can limit the depth and scope of the background of the study.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Writing A Case Study

Case Study Examples

Brilliant Case Study Examples and Templates For Your Help

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A Complete Case Study Writing Guide With Examples

Simple Case Study Format for Students to Follow

Understand the Types of Case Study Here

It’s no surprise that writing a case study is one of the most challenging academic tasks for students. You’re definitely not alone here!

Most people don't realize that there are specific guidelines to follow when writing a case study. If you don't know where to start, it's easy to get overwhelmed and give up before you even begin.

Don't worry! Let us help you out!

We've collected over 25 free case study examples with solutions just for you. These samples with solutions will help you win over your panel and score high marks on your case studies.

So, what are you waiting for? Let's dive in and learn the secrets to writing a successful case study.

• 1. An Overview of Case Studies
• 2. Case Study Examples for Students
• 3. Business Case Study Examples
• 4. Medical Case Study Examples
• 5. Psychology Case Study Examples 
• 6. Sales Case Study Examples
• 7. Interview Case Study Examples
• 8. Marketing Case Study Examples
• 9. Tips to Write a Good Case Study

An Overview of Case Studies

A case study is a research method used to study a particular individual, group, or situation in depth. It involves analyzing and interpreting data from a variety of sources to gain insight into the subject being studied. 

Case studies are often used in psychology, business, and education to explore complicated problems and find solutions. They usually have detailed descriptions of the subject, background info, and an analysis of the main issues.

The goal of a case study is to provide a comprehensive understanding of the subject. Typically, case studies can be divided into three parts, challenges, solutions, and results. 

Here is a case study sample PDF so you can have a clearer understanding of what a case study actually is:

Case Study Sample PDF

How to Write a Case Study Examples

Learn how to write a case study with the help of our comprehensive case study guide.

Case Study Examples for Students

Quite often, students are asked to present case studies in their academic journeys. The reason instructors assign case studies is for students to sharpen their critical analysis skills, understand how companies make profits, etc.

Below are some case study examples in research, suitable for students:

Case Study Example in Software Engineering

Qualitative Research Case Study Sample

Software Quality Assurance Case Study

Social Work Case Study Example

Ethical Case Study

Case Study Example PDF

These examples can guide you on how to structure and format your own case studies.

Struggling with formatting your case study? Check this case study format guide and perfect your document’s structure today.

Business Case Study Examples

A business case study examines a business’s specific challenge or goal and how it should be solved. Business case studies usually focus on several details related to the initial challenge and proposed solution. 

To help you out, here are some samples so you can create case studies that are related to businesses: 

Here are some more business case study examples:

Business Case Studies PDF

Business Case Studies Example

Typically, a business case study discovers one of your customer's stories and how you solved a problem for them. It allows your prospects to see how your solutions address their needs. 

Medical Case Study Examples

Medical case studies are an essential part of medical education. They help students to understand how to diagnose and treat patients. 

Here are some medical case study examples to help you.

Medical Case Study Example

Nursing Case Study Example

Want to understand the various types of case studies? Check out our types of case study blog to select the perfect type.

Psychology Case Study Examples 

Case studies are a great way of investigating individuals with psychological abnormalities. This is why it is a very common assignment in psychology courses. 

By examining all the aspects of your subject’s life, you discover the possible causes of exhibiting such behavior. 

For your help, here are some interesting psychology case study examples:

Psychology Case Study Example

Mental Health Case Study Example

Sales Case Study Examples

Case studies are important tools for sales teams’ performance improvement. By examining sales successes, teams can gain insights into effective strategies and create action plans to employ similar tactics.

By researching case studies of successful sales campaigns, sales teams can more accurately identify challenges and develop solutions.

Sales Case Study Example

Interview Case Study Examples

Interview case studies provide businesses with invaluable information. This data allows them to make informed decisions related to certain markets or subjects.

Interview Case Study Example

Marketing Case Study Examples

Marketing case studies are real-life stories that showcase how a business solves a problem. They typically discuss how a business achieves a goal using a specific marketing strategy or tactic.

They typically describe a challenge faced by a business, the solution implemented, and the results achieved.

This is a short sample marketing case study for you to get an idea of what an actual marketing case study looks like.

 Here are some more popular marketing studies that show how companies use case studies as a means of marketing and promotion:

“Chevrolet Discover the Unexpected” by Carol H. Williams

This case study explores Chevrolet's “ DTU Journalism Fellows ” program. The case study uses the initials “DTU” to generate interest and encourage readers to learn more. 

Multiple types of media, such as images and videos, are used to explain the challenges faced. The case study concludes with an overview of the achievements that were met.

Key points from the case study include:

• Using a well-known brand name in the title can create interest.
• Combining different media types, such as headings, images, and videos, can help engage readers and make the content more memorable.
• Providing a summary of the key achievements at the end of the case study can help readers better understand the project's impact.

“The Met” by Fantasy

“ The Met ” by Fantasy is a fictional redesign of the Metropolitan Museum of Art in New York City, created by the design studio Fantasy. The case study clearly and simply showcases the museum's website redesign.

The Met emphasizes the website’s features and interface by showcasing each section of the interface individually, allowing the readers to concentrate on the significant elements.

For those who prefer text, each feature includes an objective description. The case study also includes a “Contact Us” call-to-action at the bottom of the page, inviting visitors to contact the company.

Key points from this “The Met” include:

• Keeping the case study simple and clean can help readers focus on the most important aspects.
• Presenting the features and solutions with a visual showcase can be more effective than writing a lot of text.
• Including a clear call-to-action at the end of the case study can encourage visitors to contact the company for more information.

“Better Experiences for All” by Herman Miller

Herman Miller's minimalist approach to furniture design translates to their case study, “ Better Experiences for All ”, for a Dubai hospital. The page features a captivating video with closed-captioning and expandable text for accessibility.

The case study presents a wealth of information in a concise format, enabling users to grasp the complexities of the strategy with ease. It concludes with a client testimonial and a list of furniture items purchased from the brand.

Key points from the “Better Experiences” include:

• Make sure your case study is user-friendly by including accessibility features like closed captioning and expandable text.
• Include a list of products that were used in the project to guide potential customers.

“NetApp” by Evisort 

Evisort's case study on “ NetApp ” stands out for its informative and compelling approach. The study begins with a client-centric overview of NetApp, strategically directing attention to the client rather than the company or team involved.

The case study incorporates client quotes and explores NetApp’s challenges during COVID-19. Evisort showcases its value as a client partner by showing how its services supported NetApp through difficult times. 

• Provide an overview of the company in the client’s words, and put focus on the customer. 
• Highlight how your services can help clients during challenging times.
• Make your case study accessible by providing it in various formats.

“Red Sox Season Campaign,” by CTP Boston

The “ Red Sox Season Campaign ” showcases a perfect blend of different media, such as video, text, and images. Upon visiting the page, the video plays automatically, there are videos of Red Sox players, their images, and print ads that can be enlarged with a click.

The page features an intuitive design and invites viewers to appreciate CTP's well-rounded campaign for Boston's beloved baseball team. There’s also a CTA that prompts viewers to learn how CTP can create a similar campaign for their brand.

Some key points to take away from the “Red Sox Season Campaign”: 

• Including a variety of media such as video, images, and text can make your case study more engaging and compelling.
• Include a call-to-action at the end of your study that encourages viewers to take the next step towards becoming a customer or prospect.

“Airbnb + Zendesk” by Zendesk

The case study by Zendesk, titled “ Airbnb + Zendesk : Building a powerful solution together,” showcases a true partnership between Airbnb and Zendesk. 

The article begins with an intriguing opening statement, “Halfway around the globe is a place to stay with your name on it. At least for a weekend,” and uses stunning images of beautiful Airbnb locations to captivate readers.

Instead of solely highlighting Zendesk's product, the case study is crafted to tell a good story and highlight Airbnb's service in detail. This strategy makes the case study more authentic and relatable.

Some key points to take away from this case study are:

• Use client's offerings' images rather than just screenshots of your own product or service.
• To begin the case study, it is recommended to include a distinct CTA. For instance, Zendesk presents two alternatives, namely to initiate a trial or seek a solution.

“Influencer Marketing” by Trend and WarbyParker

The case study "Influencer Marketing" by Trend and Warby Parker highlights the potential of influencer content marketing, even when working with a limited budget. 

The “Wearing Warby” campaign involved influencers wearing Warby Parker glasses during their daily activities, providing a glimpse of the brand's products in use. 

This strategy enhanced the brand's relatability with influencers' followers. While not detailing specific tactics, the case study effectively illustrates the impact of third-person case studies in showcasing campaign results.

Key points to take away from this case study are:

• Influencer marketing can be effective even with a limited budget.
• Showcasing products being used in everyday life can make a brand more approachable and relatable.
• Third-person case studies can be useful in highlighting the success of a campaign.

Marketing Case Study Template

Marketing Case Study Example

Now that you have read multiple case study examples, hop on to our tips.

Tips to Write a Good Case Study

Here are some note-worthy tips to craft a winning case study 

• Define the purpose of the case study This will help you to focus on the most important aspects of the case. The case study objective helps to ensure that your finished product is concise and to the point.
• Choose a real-life example. One of the best ways to write a successful case study is to choose a real-life example. This will give your readers a chance to see how the concepts apply in a real-world setting.
• Keep it brief. This means that you should only include information that is directly relevant to your topic and avoid adding unnecessary details.
• Use strong evidence. To make your case study convincing, you will need to use strong evidence. This can include statistics, data from research studies, or quotes from experts in the field.
• Edit and proofread your work. Before you submit your case study, be sure to edit and proofread your work carefully. This will help to ensure that there are no errors and that your paper is clear and concise.

There you go!

We’re sure that now you have secrets to writing a great case study at your fingertips! This blog teaches the key guidelines of various case studies with samples. So grab your pen and start crafting a winning case study right away!

Having said that, we do understand that some of you might be having a hard time writing compelling case studies.

But worry not! Our expert case study writing service is here to take all your case-writing blues away! 

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Dr. Barbara is a highly experienced writer and author who holds a Ph.D. degree in public health from an Ivy League school. She has worked in the medical field for many years, conducting extensive research on various health topics. Her writing has been featured in several top-tier publications.

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A case study research paper examines a person, place, event, condition, phenomenon, or other type of subject of analysis in order to extrapolate  key themes and results that help predict future trends, illuminate previously hidden issues that can be applied to practice, and/or provide a means for understanding an important research problem with greater clarity. A case study research paper usually examines a single subject of analysis, but case study papers can also be designed as a comparative investigation that shows relationships between two or more subjects. The methods used to study a case can rest within a quantitative, qualitative, or mixed-method investigative paradigm.

Case Studies. Writing@CSU. Colorado State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010 ; “What is a Case Study?” In Swanborn, Peter G. Case Study Research: What, Why and How? London: SAGE, 2010.

How to Approach Writing a Case Study Research Paper

General information about how to choose a topic to investigate can be found under the " Choosing a Research Problem " tab in the Organizing Your Social Sciences Research Paper writing guide. Review this page because it may help you identify a subject of analysis that can be investigated using a case study design.

However, identifying a case to investigate involves more than choosing the research problem . A case study encompasses a problem contextualized around the application of in-depth analysis, interpretation, and discussion, often resulting in specific recommendations for action or for improving existing conditions. As Seawright and Gerring note, practical considerations such as time and access to information can influence case selection, but these issues should not be the sole factors used in describing the methodological justification for identifying a particular case to study. Given this, selecting a case includes considering the following:

• The case represents an unusual or atypical example of a research problem that requires more in-depth analysis? Cases often represent a topic that rests on the fringes of prior investigations because the case may provide new ways of understanding the research problem. For example, if the research problem is to identify strategies to improve policies that support girl's access to secondary education in predominantly Muslim nations, you could consider using Azerbaijan as a case study rather than selecting a more obvious nation in the Middle East. Doing so may reveal important new insights into recommending how governments in other predominantly Muslim nations can formulate policies that support improved access to education for girls.
• The case provides important insight or illuminate a previously hidden problem? In-depth analysis of a case can be based on the hypothesis that the case study will reveal trends or issues that have not been exposed in prior research or will reveal new and important implications for practice. For example, anecdotal evidence may suggest drug use among homeless veterans is related to their patterns of travel throughout the day. Assuming prior studies have not looked at individual travel choices as a way to study access to illicit drug use, a case study that observes a homeless veteran could reveal how issues of personal mobility choices facilitate regular access to illicit drugs. Note that it is important to conduct a thorough literature review to ensure that your assumption about the need to reveal new insights or previously hidden problems is valid and evidence-based.
• The case challenges and offers a counter-point to prevailing assumptions? Over time, research on any given topic can fall into a trap of developing assumptions based on outdated studies that are still applied to new or changing conditions or the idea that something should simply be accepted as "common sense," even though the issue has not been thoroughly tested in current practice. A case study analysis may offer an opportunity to gather evidence that challenges prevailing assumptions about a research problem and provide a new set of recommendations applied to practice that have not been tested previously. For example, perhaps there has been a long practice among scholars to apply a particular theory in explaining the relationship between two subjects of analysis. Your case could challenge this assumption by applying an innovative theoretical framework [perhaps borrowed from another discipline] to explore whether this approach offers new ways of understanding the research problem. Taking a contrarian stance is one of the most important ways that new knowledge and understanding develops from existing literature.
• The case provides an opportunity to pursue action leading to the resolution of a problem? Another way to think about choosing a case to study is to consider how the results from investigating a particular case may result in findings that reveal ways in which to resolve an existing or emerging problem. For example, studying the case of an unforeseen incident, such as a fatal accident at a railroad crossing, can reveal hidden issues that could be applied to preventative measures that contribute to reducing the chance of accidents in the future. In this example, a case study investigating the accident could lead to a better understanding of where to strategically locate additional signals at other railroad crossings so as to better warn drivers of an approaching train, particularly when visibility is hindered by heavy rain, fog, or at night.
• The case offers a new direction in future research? A case study can be used as a tool for an exploratory investigation that highlights the need for further research about the problem. A case can be used when there are few studies that help predict an outcome or that establish a clear understanding about how best to proceed in addressing a problem. For example, after conducting a thorough literature review [very important!], you discover that little research exists showing the ways in which women contribute to promoting water conservation in rural communities of east central Africa. A case study of how women contribute to saving water in a rural village of Uganda can lay the foundation for understanding the need for more thorough research that documents how women in their roles as cooks and family caregivers think about water as a valuable resource within their community. This example of a case study could also point to the need for scholars to build new theoretical frameworks around the topic [e.g., applying feminist theories of work and family to the issue of water conservation].

Eisenhardt, Kathleen M. “Building Theories from Case Study Research.” Academy of Management Review 14 (October 1989): 532-550; Emmel, Nick. Sampling and Choosing Cases in Qualitative Research: A Realist Approach . Thousand Oaks, CA: SAGE Publications, 2013; Gerring, John. “What Is a Case Study and What Is It Good for?” American Political Science Review 98 (May 2004): 341-354; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Seawright, Jason and John Gerring. "Case Selection Techniques in Case Study Research." Political Research Quarterly 61 (June 2008): 294-308.

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work.

In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I.  Introduction

As with any research paper, your introduction should serve as a roadmap for your readers to ascertain the scope and purpose of your study . The introduction to a case study research paper, however, should not only describe the research problem and its significance, but you should also succinctly describe why the case is being used and how it relates to addressing the problem. The two elements should be linked. With this in mind, a good introduction answers these four questions:

• What is being studied? Describe the research problem and describe the subject of analysis [the case] you have chosen to address the problem. Explain how they are linked and what elements of the case will help to expand knowledge and understanding about the problem.
• Why is this topic important to investigate? Describe the significance of the research problem and state why a case study design and the subject of analysis that the paper is designed around is appropriate in addressing the problem.
• What did we know about this topic before I did this study? Provide background that helps lead the reader into the more in-depth literature review to follow. If applicable, summarize prior case study research applied to the research problem and why it fails to adequately address the problem. Describe why your case will be useful. If no prior case studies have been used to address the research problem, explain why you have selected this subject of analysis.
• How will this study advance new knowledge or new ways of understanding? Explain why your case study will be suitable in helping to expand knowledge and understanding about the research problem.

Each of these questions should be addressed in no more than a few paragraphs. Exceptions to this can be when you are addressing a complex research problem or subject of analysis that requires more in-depth background information.

II.  Literature Review

The literature review for a case study research paper is generally structured the same as it is for any college-level research paper. The difference, however, is that the literature review is focused on providing background information and  enabling historical interpretation of the subject of analysis in relation to the research problem the case is intended to address . This includes synthesizing studies that help to:

• Place relevant works in the context of their contribution to understanding the case study being investigated . This would involve summarizing studies that have used a similar subject of analysis to investigate the research problem. If there is literature using the same or a very similar case to study, you need to explain why duplicating past research is important [e.g., conditions have changed; prior studies were conducted long ago, etc.].
• Describe the relationship each work has to the others under consideration that informs the reader why this case is applicable . Your literature review should include a description of any works that support using the case to investigate the research problem and the underlying research questions.
• Identify new ways to interpret prior research using the case study . If applicable, review any research that has examined the research problem using a different research design. Explain how your use of a case study design may reveal new knowledge or a new perspective or that can redirect research in an important new direction.
• Resolve conflicts amongst seemingly contradictory previous studies . This refers to synthesizing any literature that points to unresolved issues of concern about the research problem and describing how the subject of analysis that forms the case study can help resolve these existing contradictions.
• Point the way in fulfilling a need for additional research . Your review should examine any literature that lays a foundation for understanding why your case study design and the subject of analysis around which you have designed your study may reveal a new way of approaching the research problem or offer a perspective that points to the need for additional research.
• Expose any gaps that exist in the literature that the case study could help to fill . Summarize any literature that not only shows how your subject of analysis contributes to understanding the research problem, but how your case contributes to a new way of understanding the problem that prior research has failed to do.
• Locate your own research within the context of existing literature [very important!] . Collectively, your literature review should always place your case study within the larger domain of prior research about the problem. The overarching purpose of reviewing pertinent literature in a case study paper is to demonstrate that you have thoroughly identified and synthesized prior studies in relation to explaining the relevance of the case in addressing the research problem.

III.  Method

In this section, you explain why you selected a particular case [i.e., subject of analysis] and the strategy you used to identify and ultimately decide that your case was appropriate in addressing the research problem. The way you describe the methods used varies depending on the type of subject of analysis that constitutes your case study.

If your subject of analysis is an incident or event . In the social and behavioral sciences, the event or incident that represents the case to be studied is usually bounded by time and place, with a clear beginning and end and with an identifiable location or position relative to its surroundings. The subject of analysis can be a rare or critical event or it can focus on a typical or regular event. The purpose of studying a rare event is to illuminate new ways of thinking about the broader research problem or to test a hypothesis. Critical incident case studies must describe the method by which you identified the event and explain the process by which you determined the validity of this case to inform broader perspectives about the research problem or to reveal new findings. However, the event does not have to be a rare or uniquely significant to support new thinking about the research problem or to challenge an existing hypothesis. For example, Walo, Bull, and Breen conducted a case study to identify and evaluate the direct and indirect economic benefits and costs of a local sports event in the City of Lismore, New South Wales, Australia. The purpose of their study was to provide new insights from measuring the impact of a typical local sports event that prior studies could not measure well because they focused on large "mega-events." Whether the event is rare or not, the methods section should include an explanation of the following characteristics of the event: a) when did it take place; b) what were the underlying circumstances leading to the event; and, c) what were the consequences of the event in relation to the research problem.

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experiences they have had that provide an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of their experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using them as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem [e.g., why is one politician in a particular local election used to show an increase in voter turnout from any other candidate running in the election]. Note that these issues apply to a specific group of people used as a case study unit of analysis [e.g., a classroom of students].

If your subject of analysis is a place. In general, a case study that investigates a place suggests a subject of analysis that is unique or special in some way and that this uniqueness can be used to build new understanding or knowledge about the research problem. A case study of a place must not only describe its various attributes relevant to the research problem [e.g., physical, social, historical, cultural, economic, political], but you must state the method by which you determined that this place will illuminate new understandings about the research problem. It is also important to articulate why a particular place as the case for study is being used if similar places also exist [i.e., if you are studying patterns of homeless encampments of veterans in open spaces, explain why you are studying Echo Park in Los Angeles rather than Griffith Park?]. If applicable, describe what type of human activity involving this place makes it a good choice to study [e.g., prior research suggests Echo Park has more homeless veterans].

If your subject of analysis is a phenomenon. A phenomenon refers to a fact, occurrence, or circumstance that can be studied or observed but with the cause or explanation to be in question. In this sense, a phenomenon that forms your subject of analysis can encompass anything that can be observed or presumed to exist but is not fully understood. In the social and behavioral sciences, the case usually focuses on human interaction within a complex physical, social, economic, cultural, or political system. For example, the phenomenon could be the observation that many vehicles used by ISIS fighters are small trucks with English language advertisements on them. The research problem could be that ISIS fighters are difficult to combat because they are highly mobile. The research questions could be how and by what means are these vehicles used by ISIS being supplied to the militants and how might supply lines to these vehicles be cut off? How might knowing the suppliers of these trucks reveal larger networks of collaborators and financial support? A case study of a phenomenon most often encompasses an in-depth analysis of a cause and effect that is grounded in an interactive relationship between people and their environment in some way.

NOTE:   The choice of the case or set of cases to study cannot appear random. Evidence that supports the method by which you identified and chose your subject of analysis should clearly support investigation of the research problem and linked to key findings from your literature review. Be sure to cite any studies that helped you determine that the case you chose was appropriate for examining the problem.

IV.  Discussion

The main elements of your discussion section are generally the same as any research paper, but centered around interpreting and drawing conclusions about the key findings from your analysis of the case study. Note that a general social sciences research paper may contain a separate section to report findings. However, in a paper designed around a case study, it is common to combine a description of the results with the discussion about their implications. The objectives of your discussion section should include the following:

Reiterate the Research Problem/State the Major Findings Briefly reiterate the research problem you are investigating and explain why the subject of analysis around which you designed the case study were used. You should then describe the findings revealed from your study of the case using direct, declarative, and succinct proclamation of the study results. Highlight any findings that were unexpected or especially profound.

Explain the Meaning of the Findings and Why They are Important Systematically explain the meaning of your case study findings and why you believe they are important. Begin this part of the section by repeating what you consider to be your most important or surprising finding first, then systematically review each finding. Be sure to thoroughly extrapolate what your analysis of the case can tell the reader about situations or conditions beyond the actual case that was studied while, at the same time, being careful not to misconstrue or conflate a finding that undermines the external validity of your conclusions.

Relate the Findings to Similar Studies No study in the social sciences is so novel or possesses such a restricted focus that it has absolutely no relation to previously published research. The discussion section should relate your case study results to those found in other studies, particularly if questions raised from prior studies served as the motivation for choosing your subject of analysis. This is important because comparing and contrasting the findings of other studies helps support the overall importance of your results and it highlights how and in what ways your case study design and the subject of analysis differs from prior research about the topic.

Consider Alternative Explanations of the Findings Remember that the purpose of social science research is to discover and not to prove. When writing the discussion section, you should carefully consider all possible explanations revealed by the case study results, rather than just those that fit your hypothesis or prior assumptions and biases. Be alert to what the in-depth analysis of the case may reveal about the research problem, including offering a contrarian perspective to what scholars have stated in prior research if that is how the findings can be interpreted from your case.

Acknowledge the Study's Limitations You can state the study's limitations in the conclusion section of your paper but describing the limitations of your subject of analysis in the discussion section provides an opportunity to identify the limitations and explain why they are not significant. This part of the discussion section should also note any unanswered questions or issues your case study could not address. More detailed information about how to document any limitations to your research can be found here .

Suggest Areas for Further Research Although your case study may offer important insights about the research problem, there are likely additional questions related to the problem that remain unanswered or findings that unexpectedly revealed themselves as a result of your in-depth analysis of the case. Be sure that the recommendations for further research are linked to the research problem and that you explain why your recommendations are valid in other contexts and based on the original assumptions of your study.

V.  Conclusion

As with any research paper, you should summarize your conclusion in clear, simple language; emphasize how the findings from your case study differs from or supports prior research and why. Do not simply reiterate the discussion section. Provide a synthesis of key findings presented in the paper to show how these converge to address the research problem. If you haven't already done so in the discussion section, be sure to document the limitations of your case study and any need for further research.

The function of your paper's conclusion is to: 1) reiterate the main argument supported by the findings from your case study; 2) state clearly the context, background, and necessity of pursuing the research problem using a case study design in relation to an issue, controversy, or a gap found from reviewing the literature; and, 3) provide a place to persuasively and succinctly restate the significance of your research problem, given that the reader has now been presented with in-depth information about the topic.

Consider the following points to help ensure your conclusion is appropriate:

• If the argument or purpose of your paper is complex, you may need to summarize these points for your reader.
• If prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the conclusion of your paper to describe your main points and explain their significance.
• Move from a detailed to a general level of consideration of the case study's findings that returns the topic to the context provided by the introduction or within a new context that emerges from your case study findings.

Note that, depending on the discipline you are writing in or the preferences of your professor, the concluding paragraph may contain your final reflections on the evidence presented as it applies to practice or on the essay's central research problem. However, the nature of being introspective about the subject of analysis you have investigated will depend on whether you are explicitly asked to express your observations in this way.

Problems to Avoid

Overgeneralization One of the goals of a case study is to lay a foundation for understanding broader trends and issues applied to similar circumstances. However, be careful when drawing conclusions from your case study. They must be evidence-based and grounded in the results of the study; otherwise, it is merely speculation. Looking at a prior example, it would be incorrect to state that a factor in improving girls access to education in Azerbaijan and the policy implications this may have for improving access in other Muslim nations is due to girls access to social media if there is no documentary evidence from your case study to indicate this. There may be anecdotal evidence that retention rates were better for girls who were engaged with social media, but this observation would only point to the need for further research and would not be a definitive finding if this was not a part of your original research agenda.

Failure to Document Limitations No case is going to reveal all that needs to be understood about a research problem. Therefore, just as you have to clearly state the limitations of a general research study , you must describe the specific limitations inherent in the subject of analysis. For example, the case of studying how women conceptualize the need for water conservation in a village in Uganda could have limited application in other cultural contexts or in areas where fresh water from rivers or lakes is plentiful and, therefore, conservation is understood more in terms of managing access rather than preserving access to a scarce resource.

Failure to Extrapolate All Possible Implications Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings. If you do not, your reader may question the validity of your analysis, particularly if you failed to document an obvious outcome from your case study research. For example, in the case of studying the accident at the railroad crossing to evaluate where and what types of warning signals should be located, you failed to take into consideration speed limit signage as well as warning signals. When designing your case study, be sure you have thoroughly addressed all aspects of the problem and do not leave gaps in your analysis that leave the reader questioning the results.

Case Studies. Writing@CSU. Colorado State University; Gerring, John. Case Study Research: Principles and Practices . New York: Cambridge University Press, 2007; Merriam, Sharan B. Qualitative Research and Case Study Applications in Education . Rev. ed. San Francisco, CA: Jossey-Bass, 1998; Miller, Lisa L. “The Use of Case Studies in Law and Social Science Research.” Annual Review of Law and Social Science 14 (2018): TBD; Mills, Albert J., Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Putney, LeAnn Grogan. "Case Study." In Encyclopedia of Research Design , Neil J. Salkind, editor. (Thousand Oaks, CA: SAGE Publications, 2010), pp. 116-120; Simons, Helen. Case Study Research in Practice . London: SAGE Publications, 2009;  Kratochwill,  Thomas R. and Joel R. Levin, editors. Single-Case Research Design and Analysis: New Development for Psychology and Education .  Hilldsale, NJ: Lawrence Erlbaum Associates, 1992; Swanborn, Peter G. Case Study Research: What, Why and How? London : SAGE, 2010; Yin, Robert K. Case Study Research: Design and Methods . 6th edition. Los Angeles, CA, SAGE Publications, 2014; Walo, Maree, Adrian Bull, and Helen Breen. “Achieving Economic Benefits at Local Events: A Case Study of a Local Sports Event.” Festival Management and Event Tourism 4 (1996): 95-106.

Writing Tip

At Least Five Misconceptions about Case Study Research

Social science case studies are often perceived as limited in their ability to create new knowledge because they are not randomly selected and findings cannot be generalized to larger populations. Flyvbjerg examines five misunderstandings about case study research and systematically "corrects" each one. To quote, these are:

Misunderstanding 1 :  General, theoretical [context-independent] knowledge is more valuable than concrete, practical [context-dependent] knowledge. Misunderstanding 2 :  One cannot generalize on the basis of an individual case; therefore, the case study cannot contribute to scientific development. Misunderstanding 3 :  The case study is most useful for generating hypotheses; that is, in the first stage of a total research process, whereas other methods are more suitable for hypotheses testing and theory building. Misunderstanding 4 :  The case study contains a bias toward verification, that is, a tendency to confirm the researcher’s preconceived notions. Misunderstanding 5 :  It is often difficult to summarize and develop general propositions and theories on the basis of specific case studies [p. 221].

While writing your paper, think introspectively about how you addressed these misconceptions because to do so can help you strengthen the validity and reliability of your research by clarifying issues of case selection, the testing and challenging of existing assumptions, the interpretation of key findings, and the summation of case outcomes. Think of a case study research paper as a complete, in-depth narrative about the specific properties and key characteristics of your subject of analysis applied to the research problem.

Flyvbjerg, Bent. “Five Misunderstandings About Case-Study Research.” Qualitative Inquiry 12 (April 2006): 219-245.

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How to Create a Case Study + 14 Case Study Templates

Written by: Brian Nuckols

When it comes to high impact marketing content, case studies are at the top of the list for helping show off your brand’s stuff. 

In this post, I’ve put together a few high-level case study design tips as well as 14 professionally designed case study templates that you can use to start designing beautiful case studies today. 

Let’s begin! 

Here’s a short selection of 12 easy-to-edit case study templates you can edit, share and download with Visme. View more templates below:

What is a Case Study?

A case study is a way for you to demonstrate the success you’ve already had with existing clients. When you create a case study, you explore how previous clients have used your product or service to reach their goals. 

In particular, a case study highlights a specific challenge or goal one of your clients was struggling with before they discovered your product. 

It then demonstrates how your work has assisted them on the journey towards overcoming the challenge or accomplishing the goal. 

A case study’s outcome is typically to share the story of a company’s growth or highlight the increase of metrics the company tracks to understand success. 

The case study includes an analysis of a campaign or project that goes through a few steps from identifying the problem to how you implemented the solution. 

How to Write a Case Study

When it comes to adding irresistible design to your content from the start, using a helpful tool is a great start. Sign up for a free Visme account and start highlighting your own client success stories using one of our case study templates today. 

Also, while you’re beginning to transition your case study workflow to include a professional design tool, it’s helpful to review some high level principles you can incorporate into your case study. 

We’ll start by reviewing some of the critical style tips and structural elements to include in your case study before progressing to a more detailed design section. 

Pinpoint Your Main Message

When designing an impactful case study, it’s essential to stay clear on the metrics that you’re highlighting. The process of overcoming business challenges is a dynamic process with many moving parts. 

If you do not stay focused on what matters in your case study, you risk obscuring the big win your client experienced by using your product or service. 

This is why you need to focus on a single message or metric. This is often called the north star metric . 

The north star metric is the single most crucial rate, count or ratio that helped your client move closer towards their goals or overcame an obstacle. 

While north star metrics are context dependent, a useful heuristic you can utilize is to figure out the most predictive metric of your client’s long term success. 

In the template I’ll highlight below, cost per lead was the north star metric that The College for Adult Learning needed to optimize. 

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Use Emotionally Rich Language 

Recently researchers at Presado did an interesting study to understand the types of language that help readers take action. They broke the content included in marketing assets into several categories, including functional, emotional and descriptive. 

In the most successful pieces of content, the researchers found that emotionally coded words were present in 61% of the content’s total volume.

This research shows the benefit of using emotionally engaging content in your case study. While it’s essential to focus on the concrete evidence of how you helped your client get from where they started to a successful outcome, do not forget to highlight the emotional journey. 

Use Data For Concrete Evidence 

Once you’ve decided on the north star metric to highlight and you choose the emotional response you want to reinforce in your case study, it’s important to use actual data from the project to share the concrete results your product helped to achieve. 

To make sure your audience can follow your line of thinking, make sure the data in your case study is precise. If you track data across time, your readers must know whether you chose to track by month or years. 

If there are any apparent trends, you can use color to highlight specific areas in a chart. 

If you want to dig deeper into using data to tell compelling stories, check out our video data storytelling tips to improve your charts and graphs. 

In the template below, The College for Adult Learning case study is an excellent example of how these elements can work together. 

Cost per lead was a critical north star metric, so we chose to emphasize the increase in revenue and a decrease in cost per lead. 

Additionally, the background section uses emotionally rich language by highlighting how the school helps students get ahead with their career goals. Also, the factual data is the centerpiece of this page in the case study.

If you’re ready to share how you impacted a client, use the College for Adult Learning case study template right now! 

Include All Necessary Parts of a Case Study

After you’ve interviewed your client and you’re getting ready to start writing, it’s important to remember each piece you need to cover.

All good case studies consist of five parts: Introduction, Challenge, Solution, Benefit and Result.

While you don’t necessarily need to label each section like that, be sure that the flow makes sense and covers each section fully to give your audience the full scope of your case study.

RELATED: 15 Real-Life Case Study Examples & Best Practices

14 Case Study Templates

Now that we have explored some of the high level strategies you can use to create a business case study, we will transition to 14 case study design templates you can use with Visme. 

1. Fuji Xerox Australia Case Study Template

Use the Fuji Xerox case study template to showcase the concrete results you achieved for your clients. It has sections where you can explain the goals you started with and the results you achieved. 

2. College for Adult Learning Case Study Template

As we’ve explored already, the College for Adult Learning template has sections where you can embrace a data driven storytelling approach while also connecting with your audience using emotionally rich language. 

Utilize the professionally designed business case study to connect with your audience. 

3. Intel Case Study Template

The Intel case study has beautiful visual elements and gives you space to share the project’s context and the goals you set out to achieve. It also allows you to get concrete with the results you achieved. 

You can always use the Visme Brand Kit to incorporate your unique brand colors into this stunning design. 

4. Bit.ly Case Study Template

Bit.ly is a marketing product that helps brands track how they are doing with campaign results. The bit.ly business case study template showcases how they drove impressive results for an eCommerce business. 

You can modify the professionally designed case study template to illustrate the key results you drive for your clients. 

5. NVISIONCenters Case Study Template

The NVISIONCenters case study template is an excellent example of how powerful it is to pair beautiful designs with the results you generate for your clients. In this case study, we see how you can transform your past accomplishments into a powerful marketing asset. 

6. Adobe Case Study Template

The Adobe case study is an exciting example of a business case study because it does a great job illustrating how you can use a specific result to create a powerful marketing asset. 

Adobe had a particular goal of branding to position itself as a leader for the future of digital marketing. LinkedIn sponsored messages was an effective tactic to drive the outcome Adobe needed. 

You can use the Adobe case study template to demonstrate the success of your most effective tactics. 

7. Inkjet Wholesale Case Study Template

The Inkjet wholesale case study template is an excellent choice if you want to experiment with your case study’s visual element. The roadmap to objectives diagram is a powerful graphic that illustrates the journey of a successful campaign. 

8. Neutrogena Case Study Template

If you have a strong visual brand to tell your case study’s story with visuals, the Neutrogena template is a great choice. It is already designed with plenty of space to highlight your visuals. 

When it is all said and done, you have the results section to complete a successful client partnership story.

9. Weebly Case Study Template

The Weebly case study template is your choice if you want to add visual flair to your case study. The beautiful layout is a testament to the power of pairing minimal design with an exciting statistic. 

10. Patagonia Case Study Template

The Patagonia case study is a perfect example of how crucial it is to make design choices based on your brand’s unique personality. 

It is a fantastic choice if you have a project to showcase featuring a brand with a distinct brand aesthetic.  

11. Think With Google Case Study Template

The Think With Google case study template tells the story of a mobile game that needed to create more engagement on their app. 

It is a visually impactful case study design template that you can use to tell a compelling story about your results. 

12. Kleenex Case Study Template

This case study template is the perfect way to show off search marketing results for a client or other highly specific KPIs that you managed to accomplish.

Insert the initial challenge followed by your company’s solution and adjust the included data visualization tools to showcase your specific results.

13. Customer Experience Presentation Case Study Template

The presentation case study template is an excellent choice for blending beautiful visual elements with the ability to give detailed information about the results you generated, as well as showcasing that data in a unique format. 

If you are ready to show how the unique features of your product or service drove real world business results then it is a good choice for your case study. 

14. Webinar Presentation Case Study Template

One small business saw incredible results when using Visme to optimize their webinar workflow. They saved 100 hours of their precious time by incorporating our collaborative design tools. 

We designed the small business template using those results as an example. When you have an eye catching effect to showcase to your audience, you can use this template as a starting point. 

Case Study Design Tips

Now that we’ve explored the 14 templates you can use with Visme to create your case study, let’s take a look at some practical design tips that will take your content to the next level. 

Be Brief In Your Case Study 

In discussions about writing with style, brevity is a common topic. However, it’s also an important design principle. 

Brevity in design is when you find the best way to perform your intended objective in as few steps as possible. 

When designing your case study, make sure you do not add extraneous visual elements where they are not needed. Instead, think of the effect you want to have on your reader and try to do it simply. 

Describe Your Vision Clearly

Earlier in this article, I wrote about the north star metric, your case study’s emotional effect and using data to make the case study concrete. Your design choices should serve to reinforce these primary goals. 

Clarity in design is when all of the visual elements add up to a whole. 

A great example of this is in the small business case study template where the shapes, typography and color scheme all emphasize the main idea that Visme helps the reader save time. 

Create A Consistent Style 

Visual consistency is a fundamental design principle that you can not afford to ignore in your case study. It will help you increase readability and make sure your audience does not get frustrated with jarring visual elements. 

In short, a consistent style is when you use a uniform color scheme, typography and the same kinds of visual elements throughout the case study. 

Use A Case Study Template For Readability

Readability is a crucial element of design, especially for case studies that are experienced on mobile devices. Contrast is an impactful readability principle. 

Make sure any contrasting colors you chose are easy on the eye and your reader does not have to strain to read your case study. 

Use Proper Alignment In Your Case Study 

Alignment is one of the principles of design that sets professionally designed business case study templates apart. Great designers have an intuitive eye for the mathematically based ratios of proximity invisible in sound design and an eyesore in lousy design. 

The good news is that you do not have to be a mathematician nor a professional designer to have a perfect alignment for your case study. Visme utilizes an easy to use drag and drop design tool that helps you achieve proper alignment in your case study. 

Let Your Brand Personality Speak

When we make intentional design decisions, we want to create a positive emotional experience for our audience. One of the best ways to do that is to make decisions that showcase your brand’s unique personality .

Is the case study you are creating like a well dressed business person who is serious, trustworthy and capable of doing a great job? Is it more like an extravert at a party bouncing from person to person lighting up the room? 

There is no right answer, but you need to infuse your viewpoint into the case study you create if you want to create a unique design. 

Start Designing Your Case Study Today 

A professionally designed case study template will help you create a stunning case study. While reviewing some high level design strategies is an important step, a tool like Visme will help you make a real impact on your audience.

If you’re ready to create your next case study, get started with Visme today .

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About the Author

Brian Nuckols is a writer working in Pittsburgh, Pennsylvania. He enjoys communicating visionary ideas in clear, action oriented language. When he’s not working on content for a transformative company you can find him analyzing dreams, creating music, and writing poetry.

How to Write a Case Study: A Breakdown of Requirements

It can take months to develop a case study. First, a topic must be chosen. Then the researcher must state his hypothesis, and make certain it lines up with the chosen topic. Then all the research must be completed. The case study can require both quantitative and qualitative research, as well as interviews with subjects. Once that is all done, it is time to write the case study.

Not all case studies are written the same. Depending on the size and topic of the study, it could be hundreds of pages long. Regardless of the size, the case study should have four main sections. These sections are:

1. Introduction

2. Background

3. Presentation of Findings

4. Conclusion

The Introduction

The introduction should set the stage for the case study, and state the thesis for the report. The intro must clearly articulate what the study's intention is, as well as how you plan on explaining and answering the thesis.

Again, remember that a case study is not a formal scientific research report that will only be read by scientists. The case study must be able to be read and understood by the layperson, and should read almost as a story, with a clear narrative.

As the reader reads the introduction, they should fully understand what the study is about, and why it is important. They should have a strong foundation for the background they will learn about in the next section.

The introduction should not be long. You must be able to introduce your topic in one or two paragraphs. Ideally, the introduction is one paragraph of about 3-5 sentences.

The Background

The background should detail what information brought the researcher to pose his hypothesis. It should clearly explain the subject or subjects, as well as their background information. And lastly, the background must give the reader a full understanding of the issue at hand, and what process will be taken with the study. Photos and videos are always helpful when applicable.

When writing the background, the researcher must explain the research methods used, and why. The type of research used will be dependent on the type of case study. The reader should have a clear idea why a particular type of research is good for the field and type of case study.

For example, a case study that is trying to determine what causes PTSD in veterans will heavily use interviews as a research method. Directly interviewing subjects garners invaluable research for the researcher. If possible, reference studies that prove this.

Again, as with the introduction, you do not want to write an extremely long background. It is important you provide the right amount of information, as you do not want to bore your readers with too much information, and you don't want them under-informed.

How much background information should a case study provide? What would happen if the case study had too much background info?

What would happen if the case study had too little background info?

The Presentation of Findings

While a case study might use scientific facts and information, a case study should not read as a scientific research journal or report. It should be easy to read and understand, and should follow the narrative determined in the first step.

The presentation of findings should clearly explain how the topic was researched, and summarize what the results are. Data should be summarized as simply as possible so that it is understandable by people without a scientific background. The researcher should describe what was learned from the interviews, and how the results answered the questions asked in the introduction.

When writing up the report, it is important to set the scene. The writer must clearly lay out all relevant facts and detail the most important points. While this section may be lengthy, you do not want to overwhelm the reader with too much information.

The Conclusion

The final section of the study is the conclusion. The purpose of the study isn't necessarily to solve the problem, only to offer possible solutions. The final summary should be an end to the story.

Remember, the case study is about asking and answering questions. The conclusion should answer the question posed by the researcher, but also leave the reader with questions of his own. The researcher wants the reader to think about the questions posed in the study, and be free to come to their own conclusions as well.

When reading the conclusion, the reader should be able to have the following takeaways:

Was there a solution provided? If so, why was it chosen?

Was the solution supported with solid evidence?

Did the personal experiences and interviews support the solution?

The conclusion should also make any recommendations that are necessary. What needs to be done, and you exactly should do it? In the case of the vets with PTSD, once a cause is determined, who is responsible for making sure the needs of the veterans are met?

English Writing Standards For Case Studies

When writing the case study, it is important to follow standard academic and scientific rules when it comes to spelling and grammar.

Spelling and Grammar

It should go without saying that a thorough spell check should be done. Remember, many case studies will require words or terms that are not in standard online dictionaries, so it is imperative the correct spelling is used. If possible, the first draft of the case study should be reviewed and edited by someone other than yourself.

Case studies are normally written in the past tense, as the report is detailing an event or topic that has since passed. The report should be written using a very logical and clear tone. All case studies are scientific in nature and should be written as such.

The First Draft

You do not sit down and write the case study in one day. It is a long and detailed process, and it must be done carefully and with precision. When you sit down to first start writing, you will want to write in plain English, and detail the what, when and how.

When writing the first draft, note any relevant assumptions. Don't immediately jump to any conclusions; just take notes of any initial thoughts. You are not looking for solutions yet. In the first draft use direct quotes when needed, and be sure to identify and qualify all information used.

If there are any issues you do not understand, the first draft is where it should be identified. Make a note so you return to review later. Using a spreadsheet program like Excel or Google Sheets is very valuable during this stage of the writing process, and can help keep you and your information and data organized.

The Second Draft

To prepare the second draft, you will want to assemble everything you have written thus far. You want to reduce the amount of writing so that the writing is tightly written and cogent. Remember, you want your case study to be interesting to read.

When possible, you should consider adding images, tables, maps, or diagrams to the text to make it more interesting for the reader. If you use any of these, make sure you have permission to use them. You cannot take an image from the Internet and use it without permission.

Once you have completed the second draft, you are not finished! It is imperative you have someone review your work. This could be a coworker, friend, or trusted colleague. You want someone who will give you an honest review of your work, and is willing to give you feedback, whether positive or negative.

Remember, you cannot proofread enough! You do not want to risk all of your hard work and research, and end up with a final case study that has spelling or grammatical errors. One typo could greatly hurt your project and damage your reputation in your field.

All case studies should follow LIT – Logical – Inclusive – Thorough.

The case study obviously must be logical. There can be no guessing or estimating. This means that the report must state what was observed, but cannot include any opinion or assumptions that might come from such an observation.

For example, if a veteran subject arrives at an interview holding an empty liquor bottle and is slurring his words, that observation must be made. However, the researcher cannot make the inference that the subject was intoxicated. The report can only include the facts.

With the Genie case, researchers witnessed Genie hitting herself and practicing self-harm. It could be assumed that she did this when she was angry. However, this wasn't always the case. She would also hit herself when she was afraid, bored or apprehensive. It is essential that researchers not guess or infer.

In order for a report to be inclusive, it must contain ALL data and findings. The researcher cannot pick and choose which data or findings to use in the report.

Using the example above, if a veteran subject arrives for an interview holding an empty liquor bottle and is slurring his words; any and all additional information that can be garnered should be recorded. For instance, what the subject was wearing, what was his demeanor, was he able to speak and communicate, etc.

When observing a man who might be drunk, it can be easy to make assumptions. However, the researcher cannot allow personal biases or beliefs to sway the findings. Any and all relevant facts must be included, regardless of size or perceived importance. Remember, small details might not seem relevant at the time of the interview. But once it is time to catalog the findings, small details might become important.

The last tip is to be thorough. It is important to delve into every observation. The researcher shouldn't just write down what they see and move on. It is essential to detail as much as possible.

For example, when interviewing veteran subjects, there interview responses are not the only information that should be garnered from the interview. The interviewer should use all senses when detailing their subject.

How does the subject appear? Is he clean? How is he dressed?

How does his voice sound? Is he speaking clearly and making cohesive thoughts? Does his voice sound raspy? Does he speak with a whisper, or does he speak too loudly?

Does the subject smell? Is he wearing cologne, or can you smell that he hasn't bathed or washed his clothes? What do his clothes look like? Is he well dressed, or does he wear casual clothes?

What is the background of the subject? What are his current living arrangements? Does he have supportive family and friends? Is he a loner who doesn't have a solid support system? Is the subject working? If so, is he happy with the job? If he is not employed, why is that? What makes the subject unemployable?

Case Studies in Marketing

We have already determined that case studies are very valuable in the business world. This is particularly true in the marketing field, which includes advertising and public relations. While case studies are almost all the same, marketing case studies are usually more dependent on interviews and observations.

Well-Known Marketing Case Studies

DeBeers is a diamond company headquartered in Luxembourg, and based in South Africa. It is well known for its logo, "A diamond is forever", which has been voted the best advertising slogan of the 20 th century.

Many studies have been done about DeBeers, but none are as well known as their marketing case study, and how they positioned themselves to be the most successful and well-known diamond company in the world.

DeBeers developed the idea for a diamond engagement ring. They also invented the "eternity band", which is a ring that has diamonds going all around it, signifying that long is forever.

They also invented the three-stone ring, signifying the past, present and future. De Beers was the first company to attribute their products, diamonds to the idea of love and romance. They originated the idea that an engagement ring should cost two-months salary.

The two-month salary standard is particularly unique, in that it is totally subjective. A ring should mean the same whether the man makes $25,000 a year or $250,000. And yet, the standard sticks due to DeBeers incredible marketing skills.

The De Beers case study is one of the most famous studies when it comes to both advertising and marketing, and is used worldwide as the ultimate example of a successful ongoing marketing campaign.

Planning the Market Research

The most important parts of the marketing case study are:

1. The case study's questions

2. The study's propositions

3. How information and data will be analyzed

4. The logic behind what is being proposed

5. How the findings will be interpreted

The study's questions should be either "how" or "why" questions, and their definitions are the researchers first job. These questions will help determine the study's goals.

Not every case study has a proposition. If you are doing an exploratory study, you will not have propositions. Instead, you will have a stated purpose, which will determine whether your study is successful, or not.

How the information will be analyzed will depend on what the topic is. This would vary depending on whether it was a person, group, or organization. Event and place studies are done differently.

When setting up your research, you will want to follow case study protocol. The protocol should have the following sections:

1. An overview of the case study, including the objectives, topic and issues.

2. Procedures for gathering information and conducting interviews.

3. Questions that will be asked during interviews and data collection.

4. A guide for the final case study report.

When deciding upon which research methods to use, these are the most important:

1. Documents and archival records

2 . Interviews

3. Direct observations (and indirect when possible)

4. Indirect observations, or observations of subjects

5. Physical artifacts and tools

Documents could include almost anything, including letters, memos, newspaper articles, Internet articles, other case studies, or any other document germane to the study.

Developing the Case Study

Developing a marketing case study follows the same steps and procedures as most case studies. It begins with asking a question, "what is missing?"

1. What is the background of the case study? Who requested the study to be done and why? What industry is the study in, and where will the study take place? What marketing needs are you trying to address?

2. What is the problem that needs a solution? What is the situation, and what are the risks? What are you trying to prove?

3. What questions are required to analyze the problem? What questions might the reader of the study have?

4. What tools are required to analyze the problem? Is data analysis necessary? Can the study use just interviews and observations, or will it require additional information?

5. What is your current knowledge about the problem or situation? How much background information do you need to procure? How will you obtain this background info?

6. What other information do you need to know to successfully complete the study?

7. How do you plan to present the report? Will it be a simple written report, or will you add PowerPoint presentations or images or videos? When is the report due? Are you giving yourself enough time to complete the project?

Formulating the Marketing Case Study

1. What is the marketing problem? Most case studies begin with a problem that management or the marketing department is facing. You must fully understand the problem and what caused it. That is when you can start searching for a solution.

However, marketing case studies can be difficult to research. You must turn a marketing problem into a research problem. For example, if the problem is that sales are not growing, you must translate that to a research problem.

What could potential research problems be?

Research problems could be poor performance or poor expectations. You want a research problem because then you can find an answer. Management problems focus on actions, such as whether to advertise more, or change advertising strategies. Research problems focus on finding out how to solve the management problem.

Method of Inquiry

As with the research for most case studies, the scientific method is standard. It allows you to use existing knowledge as a starting point. The scientific method has the following steps:

1. Ask a question – formulate a problem

2. Do background research

3. Formulate a problem

4. Develop/construct a hypothesis

5. Make predictions based on the hypothesis

6. Do experiments to test the hypothesis

7 . Conduct the test/experiment

8 . Analyze and communicate the results

The above terminology is very similar to the research process. The main difference is that the scientific method is objective and the research process is subjective. Quantitative research is based on impartial analysis, and qualitative research is based on personal judgment.

Research Method

After selecting the method of inquiry, it is time to decide on a research method. There are two main research methodologies, experimental research and non-experimental research.

Experimental research allows you to control the variables and to manipulate any of the variables that influence the study.

Non-experimental research allows you to observe, but not intervene. You just observe and then report your findings.

Research Design

The design is the plan for how you will conduct the study, and how you will collect the data. The design is the scientific method you will use to obtain the information you are seeking.

Data Collection

There are many different ways to collect data, with the two most important being interviews and observation.

Interviews are when you ask people questions and get a response. These interviews can be done face-to-face, by telephone, the mail, email, or even the Internet. This category of research techniques is survey research. Interviews can be done in both experimental and non-experimental research.

Observation is watching a person or company's behavior. For example, by observing a persons buying behavior, you could predict how that person will make purchases in the future.

When using interviews or observation, it is required that you record your results. How you record the data will depend on which method you use. As with all case studies, using a research notebook is key, and will be the heart of the study.

Sample Design

When developing your case study, you won't usually examine an entire population; those are done by larger research projects. Your study will use a sample, which is a small representation of the population. When designing your sample, be prepared to answer the following questions:

1. From which type of population should the sample be chosen?

2. What is the process for the selection of the sample?

3. What will be the size of the sample?

There are two ways to select a sample from the general population; probability and non-probability sampling. Probability sampling uses random sampling of everyone in the population. Non-probability sampling uses the judgment of the researcher.

The last step of designing your sample is to determine the sample size. This can depend on cost and accuracy. Larger samples are better and more accurate, but they can also be costly.

Analysis of the Data

In order to use the data, it first must be analyzed. How you analyze the data should be decided upon as early in the process as possible, and will vary depending on the type of info you are collecting, and the form of measurement being used. As stated repeatedly, make sure you keep track of everything in the research notebook.

The Marketing Case Study Report

The final stage of the process is the marketing case study. The final study will include all of the information, as well as detail the process. It will also describe the results, conclusions, and any recommendations. It must have all the information needed so that the reader can understand the case study.

As with all case studies, it must be easy to read. You don't want to use info that is too technical; otherwise you could potentially overwhelm your reader. So make sure it is written in plain English, with scientific and technical terms kept to a minimum.

Using Your Case Study

Once you have your finished case study, you have many opportunities to get that case study in front of potential customers. Here is a list of the ways you can use your case study to help your company's marketing efforts.

1. Have a page on your website that is dedicated to case studies. The page should have a catchy name and list all of the company's case studies, beginning with the most recent. Next to each case study list its goals and results.

2. Put the case study on your home page. This will put your study front and center, and will be immediately visible when customers visit your web page. Make sure the link isn't hidden in an area rarely visited by guests. You can highlight the case study for a few weeks or months, or until you feel your study has received enough looks.

3. Write a blog post about your case study. Obviously you must have a blog for this to be successful. This is a great way to give your case study exposure, and it allows you to write the post directly addressing your audience's needs.

4 . Make a video from your case study. Videos are more popular than ever, and turning a lengthy case study into a brief video is a great way to get your case study in front of people who might not normally read a case study.

5. Use your case study on a landing page. You can pull quotes from the case study and use those on product pages. Again, this format works best when you use market segmentation.

6. Post about your case studies on social media. You can share links on Twitter, Facebook and LinkedIn. Write a little interesting tidbit, enough to capture your client's interest, and then place the link.

7 . Use your case study in your email marketing. This is most effective if your email list is segmented, and you can direct your case study to those most likely to be receptive to it.

8. Use your case studies in your newsletters. This can be especially effective if you use segmentation with your newsletters, so you can gear the case study to those most likely to read and value it.

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Guidelines for Ferry Transportation Services (2012)

Chapter: part 1 - background information and case studies.

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Background Information and Case Studies P A R T 1

Background The purpose of this research is to investigate the state of ferry transit operations in North America and to develop practitioners’ guidance for the planning, marketing, operation, and management of ferry transportation systems. The research is intended to present a uniform un- derstanding of the status of ferries as well as options for how to approach planning and opera- tional activities. This guidebook is intended for use by operators large and small, in publicly or privately owned operations, for the development of ferry operations as a solution to a transporta- tion need. This research was developed through literature searches of previous studies, reviews of exist- ing government and state documents, telephone interviews with a broad selection of ferry oper- ators, in-depth case studies of eight ferry operators/ferry systems geographically dispersed across the North American continent, and peer review of the interim documents. The main body of this report contains the case studies and a guidebook. Two appendices pro- vide additional information to support the work documented within the main body of the re- port. Appendix A provides a listing of literature review sources, and Appendix B documents the results of a survey of ferry operators that was developed and implemented in this research. Objectives and Methodology The overall purpose of the research reported herein was to develop guidance for selecting water/ferry transit as the appropriate solution to an access requirement and guidance for oper- ating ferry services. An initial task was to develop a definition of ferry service in order to focus the practice guide- lines. Additional tasks focused on segmenting ferry service types, identifying appropriate roles for ferry service, and spotlighting operational practices to ensure well-operated and safe ferry systems. The end result is a list of criteria that decisionmakers and potential ferry operators can use to test the viability of potential services and operations. An important output of the research is a ferry service development process work flow that out- lines the steps necessary to take a ferry project from conception to initiation (see Figure 1-1). 3 S E C T I O N 1 Introduction

4 Guidelines for Ferry Transportation Services Assessment of All Transit Alternatives - Incorporation of Goals, Criteria, and Measures Analysis of Ferry Alternative Problem Identification Develop Finance and Capital Plan Select Procurement Model Assess Economic and Financial Impacts Determine Efficiency and Effectiveness Go/No-Go Decision No-Go Decision Go Decision Contractor Develops Operating Plan for Approval Publicly Sponsored Contract Select Contract Operator Develop Contract Management Plan Develop Marketing Plan Initiate Operations Direct Operation Select and Procure Vessels Develop Marketing Plan Initiate Operations Develop Operating Plan and Budget St ra te gi c Pl an P ro ce ss Bu si ne ss P la n Pr oc es s Figure 1-1. Ferry service development process.

Report Organization This report is divided into two parts. Part 1 provides background information on ferry service and presents case studies of ferry service. Part 2 presents guidance for practitioners and policymakers. Part 1 includes Sections 1 through 5. Following Section 1 (this section), which introduces the study, is Section 2, which provides a definition of the ferry services considered herein. Section 3 identifies ferry service typologies, and Section 4 lists the stakeholders and institutions affecting ferry services in the United States. Section 5 presents case studies of eight ferry operators (whose experiences and findings impact the report guidance). Part 2 includes Sections 6 through 9. Section 6 is an introduction to and summary of the prac- titioners’ guide to ferry services. Section 7 focuses on strategic planning issues. Section 8 expands on Section 7 by providing discussion of the key issues (often logistical) in ferry management and operations and approaches to these issues. Section 9 discusses ferry services within an overall strategy (either a corporate, private-sector strategy or a metropolitan or statewide transporta- tion strategy) and then provides guidance on developing a business plan for the ferry operation. Introduction 5

An important initial task is to define the ferry operations considered in this guidance. In the context of this research, ferry transportation is a transportation route similar to that provided by a highway or a railway. Definitions Merriam-Webster’s Collegiate Dictionary defines the noun form of the word “ferry” as “a place where persons or things are carried across a body of water (as a river) in a boat” (Merriam-Webster Inc., 2003), and The New Oxford Dictionary of English defines ferry as “a boat or ship that carries people, vehicles and goods across a river or across a narrow part of the sea” (Oxford University Press, 1998). The Random House Unabridged Dictionary defines a highway as “any public road or waterway” (Random House, 1997). Government legal definitions take this ordinary language and refine the definition of ferry service more specifically to be a transportation service using a boat or vessel as a common car- rier for passengers or passengers and vehicles (as a highway is open to all users), in a highway use (for purposeful travel between two points), within a specific “narrow” waterway. A vessel, there- fore, traveling from New York to Lisbon, is not a ferry because it is not a narrow waterway. A freight-only service is also not a ferry. Given these definitions, this research considers ferry ser- vice as a passenger transportation service that can also provide vehicle transportation, but that does not include non-point-to-point sightseeing marine services or freight shipping. Marine services that serve purposeful travel to and from recreational areas are considered ferries. The Bureau of Transportation Statistics (BTS) of the U.S. Department of Transportation ac- knowledges two types of ferry public transit modes: Ferry Transit (BTS Ferry Transit) and Ferry Intercity (BTS Ferry Intercity). BTS Ferry Transit is defined as scheduled ferry service running between points within a city or the same metropolitan area while BTS Ferry Intercity is defined as scheduled ferry service running between points that are not within the same metropolitan area or are not located in any metropolitan area (RITA, accessed April 8, 2010). In at least two states (North Carolina and Washington) and one territory (U.S. Virgin Islands), the state ferry systems are considered as part of the overall state highway system, as they provide critical linkages as part of the state’s transportation system. On April 8, 2010, the U.S. Maritime Administration (MARAD) released its final rule defining the new Marine Highway Program that was originally established on October 9, 2008. While the term “marine highway” has been loosely used to describe ferry transit service, the new MARAD rule firmly defines the term “marine highway” to refer exclusively to short sea transportation. Thus, the term “marine highway” does not refer to ferry transit, but the word “highway” can be 6 S E C T I O N 2 Definitions and Types of Ferry Services

used to refer to ferries within a state’s highway system. In the states of Washington and North Carolina, the state-operated ferry systems are considered as part of the states’ highway system, waterway routes that are an extension of the roadway system. In this instance, ferry routes are part of an overall highway system. Based on the U.S. government documents discussed above and on the case studies developed for this project, ferry service can be categorized into the following: • Transit (no vehicle access): – Ferry Urban—consisting of scheduled service between points within a city or metropoli- tan area (Under the BTS scheme, this would be BTS Ferry Transit). – Ferry Intercity—consisting of scheduled service between metropolitan areas (Under the BTS scheme, this would be BTS Ferry Intercity). • Highway – Ferry Essential—consisting of scheduled service between points outside a metropolitan area or between metropolitan areas and providing vehicle access (primarily BTS Ferry In- tercity although some are categorized as BTS Ferry Transit) almost always in areas without direct roadway access. Types of Ferry Service Varying types of ferry service are provided across the country. As defined in the second edition of the Transit Capacity and Quality of Service Manual (Kettleson & Associates, Inc., et al., 2003), the various service configurations include water taxis, passenger ferries, and automobile ferries. Water Taxis Water taxis are small watercraft that typically serve short cross-waterways or waterway circu- lation routes. Water taxis do not operate on fixed routes or use time-based schedules; rather, they operate on an on-demand basis, with service being variable throughout the day, depending on demand. (Because water taxis do not operate on a fixed route, they are not considered in this research. There are some marine services that have all the other aspects of ferry services— scheduled service, purposeful trips, and so forth—which are marketed as water taxis; however, in this study they are considered ferries.) Passenger Ferries Passenger ferries are larger vessels that have higher passenger capacities and speeds than water taxis and that typically serve short- to moderate-length routes. This kind of ferry service will be referred to as “ferry transit” in this report. Passenger ferries operate on fixed routes with time- based schedules. Examples of passenger ferries operating within a metropolitan area include the New York Harbor cross-Hudson ferries, operated by NY Waterway, NY Water Taxi, and other carriers using 120–150 passenger-only vessels. Some passenger-only ferries operate between metropolitan areas or provide access to rural areas. These are categorized as Ferry Intercity, and examples include the U.S. Virgin Island fer- ries, the Victoria Clipper from Seattle, Washington, to Victoria, British Columbia, and the var- ious ferry services operating between Cape Cod and Martha’s Vineyard in Massachusetts. Automobile Ferries Automobile ferries—also known as roll-on, roll-off (RO-RO) ferries—transport vehicles as well as passengers. They are typically used on longer routes across major bodies of water and on Definitions and Types of Ferry Services 7

low-volume rural roads crossing rivers. Automobile ferries operate on fixed routes with time- based schedules. Examples of automobile ferries include state ferry systems in North Carolina, Washington State, and in British Columbia. Some of these services can be categorized as BTS Ferry Transit (i.e., the Washington State ferry system, which connects Kitsap County to Seattle with ferry routes as short as 10 miles), but most are BTS Ferry Intercity since they generally con- nect areas that are distinct metropolitan areas or connect metropolitan areas to rural areas. For the purposes of this report, any vessel on a fixed route that carries automobiles will be referred to as “ferry highway.” 8 Guidelines for Ferry Transportation Services

This research included a literature review of research on ferries over the last 20 years. This work identifies current ferry industry practices and procedures based on the literature review and an extensive survey of ferry operators that was developed for this report. The 2008 National Census of Ferry Operators (from BTS) reported that ferries operated on more than 350 routes spanning 37 states and three U.S. territories, as well as connecting to seven international destinations. BTS estimates that more than 100 million passengers use U.S. ferries annually. The largest ferry systems were the Staten Island Ferry, which carried 23 million pas- sengers, and the Washington State Ferry, which carried 13 million foot passengers and 11 mil- lion vehicles and vehicle passengers (RITA, accessed April 8, 2010). Ferry Functions Ferries provide three basic transportation functions in the United States within the definition of ferry service. These functions are the fundamental backbone of ferry service, with a hierarchy of importance in relation to regional landside transportation networks (Norris, 1994): • Essential ferry routes with no viable land-based alternatives (called Ferry Essential in this report). These are essential ferry routes that provide year-round service to island or water- isolated areas that cannot be reached by road, bridge, or tunnel. These routes typically are operated by a public entity that is part of the regional transportation network, although they may be operated by private entities under government authorization. The routes are seen as marine highways to offshore communities that provide passenger, vehicle, and freight trans- fer to the mainland. Examples include the North Carolina Ferry System, Washington State Ferry, British Columbia Ferry System and the U.S. Virgin Island ferries, among others. • Complementary ferry routes that are more efficient than land-based alternatives. These routes compete aggressively with automobile and potentially other public transit modes for time savings and accessibility. These routes are often commuter oriented. A good example is the Staten Island Ferry in New York, which provides a direct, 5-mile connection between Manhattan and Staten Island. The corresponding automobile trip is about 16 miles. • Optional ferry routes with equivalent land-based alternatives. Optional ferry routes provide alternatives to automobile travel that may represent some time savings, exhibit greater relia- bility, and provide more amenities. The main goal of increased travel options is to provide al- ternatives to roadways, bridges, and tunnels that may be congested and overcrowded, thereby encouraging people to change travel modes. In the San Francisco Bay Area, the Vallejo Ferry operates on a 30-mile route between downtown Vallejo, a redeveloping industrial town, and downtown San Francisco. Both the ferry route and the parallel Interstate 80 are about the same distance to downtown San Francisco. However, during the peak period, Interstate 80 is extremely 9 S E C T I O N 3 Ferry Service Typologies

congested, with travel times approaching about 70 minutes, while the trip on the 34-knot (39-mph/63-kph) ferry is scheduled to be about 55 minutes, a savings of about 20 percent (Vallejo Baylink Ferry, accessed December 3, 2010). Ferry service can be further divided by geography. A typical ferry route is, on average, 11 to 30 minutes, although routes exceeding 2 hours are also common (up to about 40 miles or 65 kilometers). Ferries travel on waterways that are intercoastal (along the coastline), intra- coastal (lakes, rivers, bays, and sounds), and international. These waterways cross urban, coastal, and rural regions (Norris, 1994): • Urban areas. Services provide trips within a metropolitan commuting area, with fixed sched- ules, sometimes with consistent “clock” headways, but sometimes with inconsistent frequen- cies. Often, fixed-frequency schedules vary daily to accommodate commuters. Services include point-to-point transit (e.g., across a harbor), linear service with multiple stops (e.g., along a waterfront), circulator service (e.g., fixed route but not fixed schedule), and water taxi service (e.g., fixed landings with passenger pickup on demand). One example is the San Francisco Bay Area where six ferry routes connect the suburbs with downtown San Francisco. Other exam- ples include New York, where 21 weekday routes provide scheduled service across the Hudson and the East River into Manhattan. In addition, Seattle and Boston use commuter ferries within highly urbanized areas and Vancouver has a ferry connecting North Vancouver to the central business district (the SeaBus). • Coastal areas. Services provide intercity and inter-island trips on saltwater and large fresh- water lakes. Travel times range from 1 hour to 1 day. Service frequency ranges from daily to weekly and may vary seasonally. Examples include the Lake Express and the Lake Michigan Car Ferry, operating from Michigan to Wisconsin across Lake Michigan; the ferries connect- ing Connecticut to Long Island, New York (Cross Sound and Port Jefferson Ferries); as well as the Washington State Ferry System and the British Columbia Ferry Services (BC Ferries). • Rural areas. Services provide transportation across rivers and lakes where the construction of bridges is not warranted. Typically, these routes are short, carry a limited number of vehicles, and accommodate pedestrians and bicycles, and sometimes even operate on demand. Exam- ples include the Bluewater Ferry operating between Marine City, Michigan, and Sombra, Ontario; the Cave-in-Rock Ferry between Kentucky and Illinois; the Washington Island Ferry in Door County, Wisconsin; and ferry services in North Carolina. Ferry systems can also be categorized according to other characteristics, including the follow- ing (Norris, 1994): • Commuter and recreational/tourism ferry. Many ferry systems historically have operated a combination of commuter and recreational service, especially private operators who want to optimize the use of their vessels. Public operators also offer off-peak and weekend service in addition to commuter routes. • High-volume routes. These routes operate frequently, either as highway ferries or as transit passenger ferries, but do not represent a large number of services. • Low-volume highway or transit link. The vast majority of the ferry routes operating in the United States are relatively small routes with low volumes that serve as substitutes for bridges or tunnels or provide service between islands and the mainland. • International, interstate, intrastate, or intercity operations. Most systems operate within one jurisdiction. Systems that cross state or country boundaries typically have different oper- ating characteristics than those of commuter and recreational/tourism ferries. Systems in Alaska and Washington are examples where additional amenities and services are provided for longer journeys. • Public, private, or public/private operations. In the United States, there are three types of operations that provide waterborne transportation. Public systems provide ferry service where 10 Guidelines for Ferry Transportation Services

there is a gap in the transportation network. Private systems operate in the same fashion but without public subsidies; therefore, they tend to be located in places where demand is high enough to generate a profit. A public/private system is one in which a public entity subsidizes the operation of a private contractor. • Existing, expanding, or new ferry systems. Systems can be categorized according to whether they are expanding operations (adding more trips or routes to an existing service), launch- ing a new service, or maintaining an existing level of service (e.g., the Staten Island Ferry in New York). Ferry Route Typology This report uses three “identifiers” for ferry routes—Ferry Urban, Ferry Intercity, and Ferry Essential —and then uses a further typology that can be applied to the ferry route identifiers. Given the wide range of ferry services operating in the United States, understanding the different markets for ferry systems is important for making planning decisions about new routes and services. These markets can be considered part of a typology including the follow- ing (Norris, 1994): • Ferry in lieu of bridge or tunnel. While bridges and tunnels have replaced many ferry sys- tems, some systems have not been replaced. More recently, ferry systems have been initiated to avoid constructing a new bridge or tunnel. The ferry service is seen as a lower cost, more efficient alternative to costly infrastructure projects. Good examples include the Washington State Ferry System, where the state purchased the existing private ferry operators until fixed links could be built. A few years later, policymakers decided to abandon new bridges in favor of continuing the ferry system. • Ferry in lieu of parallel highway or rail. Where land availability is constrained or building a new highway or rail route is too costly, the decision to maintain or implement a ferry service is selected. BC Ferries Inland Passage service between Prince Rupert and Port Hardy serves isolated coastal and island communities including Bella Coola, Bella Bella, Klemtu, and Shearwater and is an example of this type of service. The Alaska Marine Highway System also operates on the Alaska portion of the Inland Passage from Prince Rupert to Skagway, with about a dozen stops along the routes (BC Ferries, 2010). • Ferry to island(s). One of the fundamental tasks of ferry systems is to serve areas without other means of access. Connecting islands with the mainland is a common service of many ferries in the United States and is also the backbone for many systems that provide other commuter- oriented routes. Examples include ferry service to Martha’s Vineyard and Nantucket (MA), Washington Island (WI), and Mackinac Island (MI), and ferry service in the U.S. Virgin Islands. • Ferry in addition to parallel bridge or tunnel. Water transportation services often operate in parallel with existing bridges or tunnels. Older systems rely on ridership gained from years of operation, while newer systems can be implemented to provide additional commuting op- tions when bridges and tunnels are congested. The best example of this policy decision is the Golden Gate Ferry System. More than 40 years ago, the Bridge District directors decided to increase corridor capacity by instituting a ferry system rather than adding highway and bridge capacity. Today the ferry services provide about 1,600 seats during the peak hour, or the same capacity as about three-quarters of a highway lane. New York implemented a similar policy in the mid-1980s, using ferries to increase cross-Hudson capacity rather than adding new high- way lanes. Also in New York, the Staten Island Ferry continues to operate despite the opening of the Verrazano-Narrows Bridge in the 1960s. The Staten Island Ferry continues to provide a direct and fast trip relative to the less direct highway. • Ferry in addition to parallel highway or rail. Similar to ferries that operate along with a par- allel bridge or tunnel, ferry service may be introduced parallel to highway or rail to provide Ferry Service Typologies 11

congestion relief, to encourage alternative forms of transportation to the automobile, or to be a mitigation measure for landside developments. A pilot project to operate ferries between Oceanside and San Diego in California was attempted in 2003, but was terminated due to low ridership. Both parallel rail service and a high-speed freeway served the same corridor. • RO-RO ferry as highway link. RO-RO ferries provide connections for automobiles and trucks between roads and highways on opposite sides of water bodies without bridges or tunnels. Ser- vices are initiated in areas where traffic volume is too low to warrant a bridge or environmen- tal concerns preclude a road crossing. Examples include the Connecticut-to-Long Island ferry services, BC Ferries, Alaska Marine Highway System, and Washington State Ferries. Table 3-1 summarizes ferry service and planning characteristics as identified in previous research and studies and synthesizes them into an approach that is used in this report. 12 Guidelines for Ferry Transportation Services In Lieu of Bridge/ Tunnel In Lieu of Parallel Highway/Rail To Islands In Addition to Parallel Bridge/Tunnel In Addition to Parallel Highway/Rail Transit Ferry Urban Ferry Intercity Highway Ferry Essential Primary Characteristics Secondary Characteristics Fe rr y Se rv ic e D ef in iti on Service and Planning Characteristics Table 3-1. Ferry service definitions and characteristics.

In the United States, ferries have been regulated and chartered due to their historic status as com- mon carriers and “highways.” Many of these regulations include state utilities commission “certifi- cates of necessity” establishing routes. Sometimes this economic regulation includes approval of fares and tariffs; other times, states either operate directly or contract for ferry operations as part of their state highway systems, such as when there is no bridge connecting a state highway. Securing landing rights is another ferry service requirement that usually involves the coopera- tion and often the approval of a state or local government. The breadth and scope of state regula- tion varies from little oversight to broad requirements requiring the approval of a regulating body. In addition to state involvement, the federal government also provides safety oversight and financial support. Federal Regulatory Agencies Each of the agencies described below has different involvement with ferries, including provid- ing funding, regulation, and oversight as well as ensuring safety and security onboard vessels and at ferry terminals. U.S. Department of Transportation The U.S. DOT develops and coordinates policies that provide an efficient and economical national transportation system, with due regard for need, the environment, and the national defense. It is the primary agency in the federal government with responsibility for shaping and administering policies and programs to protect and enhance the safety, adequacy, and effi- ciency of the transportation system and services. Within the U.S. DOT, the Office of the Secre- tary, FHWA, MARAD, and FTA all can provide oversight and assistance for ferry services. In addition, RITA provides multimodal research for U.S. DOT (Habib et al., 1980). Federal Highway Administration FHWA coordinates highway transportation programs primarily in cooperation with states. As part of this mission, FHWA also funds ferries through traditional highway programs and spec- ified ferry funding grants. Maritime Administration MARAD promotes development and maintenance of an adequate, well-balanced, United States merchant marine. MARAD also administers the Title XI ship financing program, which provides federally guaranteed loans for shipbuilding projects. Ferries are eligible for the Title XI program and have been financed through the program in the past. 13 S E C T I O N 4 Stakeholders and Institutions Affecting Ferry Services

Federal Transit Administration FTA can provide financial assistance for passenger (generally Ferry Transit Urban) ferry services as part of grant programs. Eligible costs include planning, design, and construction (and some- times operating expenses related to preventative maintenance). Transit systems are required to submit a variety of operational and financial data annually for insertion into the National Tran- sit Database (this reporting affects the formula allocations to transit agencies around the country), and, as part of this reporting, ferry routes are given the same consideration as fixed-rail routes. Research and Innovative Technologies Administration During deliberations for the Transportation Equity Act for the 21st Century (TEA-21) in 1998, Congress identified a gap in the understanding of how to evaluate federal funding requests for fer- ries. To remedy this gap, Congress commissioned a ferry study in 2000 that was carried out by RITA and was called The National Ferry Study. The study included a detailed inventory of all ferry oper- ations and reported on the potential for new ferry operations, fast ferry opportunities, and alterna- tive fuels. The study allowed various ferry-related government agencies and departments to form a partnership in which different agencies had specific tasks and roles. Ferry-related planning, fund- ing, and construction had previously been shared among local, state, and national agencies. The study provided, perhaps for the first time, a clear delineation of agency roles and responsibilities. U.S. Department of Homeland Security DHS was created through the Homeland Security Act of 2002. Ferry operators and systems interface with DHS primarily through the U.S. Coast Guard and TSA. International operators also are subject to Immigration and Customs Enforcement (ICE). U.S. Coast Guard USCG is an agency under DHS, but can also become a branch of the United States military. The USCG is a maritime, military, and multimission service unique among the military branches for having domestic (and international) maritime law enforcement duties and also being a federal mar- itime safety and regulatory agency. USCG provides safety oversight for all vessels, including ferries, and conducts annual vessel inspections. All vessels must be USCG certified, and maritime operat- ing personnel require USCG licenses. USCG also mandates safety procedures for crew members and vessel operations and can conduct vessel escorts, security patrols, and other actions to ensure that vessels operating in the United States comply with domestic security standards. Ferries are often included as components of USCG’s maritime security plans for urban harbors. Transportation Security Administration TSA provides security for the movement of people and commerce in and to the United States. TSA administers the Transportation Worker Identification Credential (TWIC) program, which is a common identification credential for all personnel requiring unescorted access to secure mar- itime areas and vessels and all mariners holding USCG-issued credentials. Congress directed TSA to issue a biometric security credential to individuals with unescorted access to secure areas of fa- cilities and vessels and all mariners holding USCG-issued credentials or qualification documents. Other Federal Agencies U.S. Army Corps of Engineers The U.S. Army Corps of Engineers (USACE) is a federal agency and a major Army command made up of civilian and military personnel. In the United States, USACE builds waterways and 14 Guidelines for Ferry Transportation Services

flood protection projects, which are often used for vessel operation. In addition, USACE regu- lates some aspects of navigable waters, including enforcing environmental regulation through dredging permits and wetlands protection. U.S. Environmental Protection Agency EPA is the federal agency that regulates discharges of pollutants into the water, ground, and air. Ferry operators are subject to EPA regulation on their discharges and emissions. In addition, the EPA administers grant programs that provide new technology designed to reduce emissions and improve efficiency. U.S. Fish and Wildlife Service (U.S. Department of the Interior) The U.S. Fish and Wildlife Service is a part of the U.S. Department of the Interior. The U.S. Fish and Wildlife Service may have jurisdiction over ferry docks and landings due to their potential impact on habitat. State and Local Agencies State and local agencies exercise regulatory control over shorelines and waterfronts and some- times exercise economic control over routes, fares, and schedules. The case studies presented in Section 5 of this report indicate a broad range of state and local agencies that impact ferry ser- vice. Such impact includes, for example, towns that through their zoning ordinances regulate terminals and other landside facilities, as well as states that regulate state-owned tidelands and control access to state resources such as personnel, funds, and lands. Funding Sources It should be noted that funding is fluid, as budgets and funding programs can change annu- ally. The purpose of the following discussion is to identify the range of funding sources currently in use at federal, state, and local levels. Federal At the federal level, funding for ferries can come from sources of highway and transit funding as well as from federal loan guarantees, federal tax deferral, and the American Recovery and Reinvest- ment Act (ARRA). Highway Federal funding for ferry vessels, terminals, and other ferry-related expenditures is available under various federal funding categories, including ferry-only funding, transit funding, and, in some cases, highway funding. For example, federal law has allowed states to use non-Interstate funds to build ferry infrastructure (including access roads and other facilities) when the route is part of a designated federally eligible highway (except Interstates). Beginning with the Inter- modal Surface Transportation Efficiency Act of 1991 (ISTEA), the Ferry Boat Discretionary Pro- gram has provided additional and separate funding for the construction of ferry boats and ferry terminal facilities. The Ferry Boat Discretionary Program was continued through the Trans- portation Equity Act for the 21st Century (TEA-21) and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). More recently, the 2009 federal Stakeholders and Institutions Affecting Ferry Services 15

stimulus bill, officially known as ARRA, authorized several ferry funding programs prior to Congress considering the next transportation appropriations bill. Transit FTA can fund ferry boats through its normal formula and discretionary funding sources. FTA funding has been used for vessels, terminals, and other facilities that provide for an urban, mass transit passenger ferry service. Federal Loan Guarantees Both MARAD and FHWA (through the Transportation Infrastructure Financing Innovations Act, TIFIA) can provide loan guarantees for ferry operators to purchase vessels. In addition, TIFIA can also fund ferry facilities and other landside projects. These programs are not grants, however, and the funds must be repaid or the government repossesses the assets. As a result, both programs have strict credit and business-plan criteria. While MARAD can finance 90 percent of a vessel, TIFIA is limited to one-third of the project cost. Federal Tax Deferral The capital construction fund program (CCF) is a program created to encourage reinvestment by U.S. maritime companies. The fund is not direct assistance, but rather allows the maritime entity (including ferry operators) to defer a portion of tax monies that would otherwise be paid to the U.S. Treasury during the tax year. Like a maritime IRA, the CCF program allows the mar- itime entity to accumulate and use otherwise taxable earnings for the purposes of acquiring, con- structing, or reconstructing vessels built and documented in the United States and operated in the United States foreign, Great Lakes, or noncontiguous domestic trade and in the fisheries. The program is administered through MARAD (for private ferry operators) and requires a contract between the operator and MARAD. American Recovery and Reinvestment Act ARRA appropriated millions of federal dollars for the ferry industry to be disbursed through a number of different transportation-related agencies for a number of different purposes. Exam- ples of how the ferry monies were distributed through the various agencies and the types of allocations are the following: • The Ferry Boat Discretionary Program received $60 million to be dispersed for ferry boat and terminal construction. • Through the FHWA, ferries could qualify for some of the $27.5 billion stimulus funds as intermodal connectors, bridge improvements, and pavement construction. • Under the FTA, $323 million was set aside especially for ferries. • The EPA has set aside $32 million for diesel emission reductions in port areas that ferries may qualify for. • The U.S. Department of the Interior has $20 million designated for ferries providing improved access to national parks. • DHS has $150 million in a port security grant to support the TWIC program. Ferry operators can be supported in this grant. State and Local Programs Several metropolitan agencies and authorities, as well as states, provide funding for ferry oper- ations and capital improvements. These sources vary from state to state, but they include many of the following: • Toll revenues. Often ferries are either part of a larger toll crossing authority or are cross- subsidized to provide supplemental capacity in a bridge corridor. 16 Guidelines for Ferry Transportation Services

• General transit revenues (often including gas taxes). These revenues are provided to fund the ferry service as part of the overall transit system. • Port revenues. Some ports and port authorities subsidize ferries to generate additional traffic and support waterfront real estate development. • Development revenues. Some ferries are financed through either special taxes or real estate fees to provide access to remote development sites or areas poorly served by other transporta- tion services. Stakeholders and Institutions Affecting Ferry Services 17

Eight ferry operators were carefully selected for case studies to represent the wide breadth of the ferry business. The selected operators include small Midwestern vehicle and passenger fer- ries, passenger-only ferries in New York Harbor, and ferries in the U.S. Virgin Islands and the Pacific Northwest. Initial Survey of Ferry Operators The case studies were guided by the initial findings from a survey of more than 40 ferry operators, which led into focusing on narrower topics for further development in the research program. The survey was conducted through telephone interviews from May through July 2009. The telephone interviews covered the same topics as the literature review: • Ferry planning • Ferry operations • Ferry funding • Ferry disaster response, safety, security, and risk • Ferry environmental assessment, planning, and mitigation • Ferry marketing The survey sample included representatives of the full range of ferry operators, from very small operators to those operators that carry more than a million passengers, from seasonal operators to year-round operators, and from privately owned and operated systems to publicly operated systems at the federal, state/provincial, and local levels. The sample also included operators from various geographic regions. The survey was designed to allow for multiple respondents from the same operator to answer questions, which occurred during interviews with larger operators. A $100 incentive was offered to encourage participation so that the desired number of interviews would be completed. Forty-three interviews were completed. The survey respondents answered anonymously dur- ing the reporting process. Characteristics of the respondents include the following: • Of the fifteen publicly owned ferries surveyed, one is a federal agency, seven are state or provincial governments, and seven are local operators. • Twenty of the ferry operators surveyed are privately owned and operated, while seven are pub- licly owned but operated by private companies under contract. • Fourteen ferries are seasonal, while sixteen operate year-round. • The number of passengers carried annually ranged from less than 500 to 2 million. 18 S E C T I O N 5 Ferry Case Studies

• Twenty-five respondents operated one to two lines, ten respondents had three to six lines, and six respondents had seven or more lines. The complete results of the survey are included in Appendix B. About the Case Studies Based on the findings from the ferry operator survey, the research team focused on in- depth case studies of eight ferry systems or operators. In some cases, the case study focused on one operator; in other cases, entire systems comprising multiple operators in one region were considered. The eight ferry systems/operators selected for the case studies were • Connecticut–Long Island (New York) ferry services • New York Harbor ferries • North Carolina Department of Transportation Ferry Division • U.S. Virgin Islands ferry services • Washington Island Ferry Line (Wisconsin) • Seattle Metropolitan Ferry System (Washington) • Hawaii Superferry Service • BC Ferries (British Columbia, Canada) It should be noted that the Hawaii Superferry system was not implemented; however, as a case study, it provides important examples of actual and potential causes of failure. Based on both the case studies and on the earlier survey of ferry operators, ferry services in North America can be broadly categorized as either passenger systems in primarily metropolitan/urban areas or as essential highway extensions in more rural areas and island and coastal communities. Within these categories, the planning, marketing, and expectations of each type of service are dissimi- lar, even while the actual operations of the vessels are similar. Each of the eight case studies opens with “Quickfacts,” a table listing basic data about the ser- vice including service category, number of routes, number of vessels, annual number of passen- gers, annual number of vehicles, and the age of the fleet. Each case study continues with sections describing the ferry operator/system history, organizational structure, operational structure, financial structure, and planning issues. Connecticut–Long Island (New York) Ferry Services Ferry Case Studies 19 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Port Jefferson Ferry Highway–Ferry Essential 1 3 1,000,000 380,000 7–24 Cross Sound Ferry Highway–Ferry Essential/ Transit–Ferry Intercity 1 8 1,300,000a 450,000 21–69 Viking Ferry Linesb Transit–Ferry Intercity 1 1 ~2,000 n/ac 5 aIncludes 195,000 fast-ferry passengers. bPlease note that because Viking Ferry Lines has limited service (only on weekends during the summer), limited analysis is provided below. cNot applicable. Quickfacts

History Modern daytime ferry service between Connecticut and Long Island began in 1884 when the Bridgeport & Port Jefferson Steamboat Company (Port Jefferson Ferry) began operation from the Connecticut shore to the midpoint of Long Island, New York. While other maritime services had operated (often on a weekly or twice-weekly schedule), the new daily scheduled service (dur- ing all seasons except winter when service was provided 3 days per week) transported Long Island farmers and their agricultural products to Connecticut and allowed Bridgeport merchants to sell products to farmers in turn (Sheahan & Conniff, 1983). The Port Jefferson Ferry began with one vessel; in 1889, the owners purchased a larger, 600- passenger vessel. When automobiles became common, the Port Jefferson vessels were retro- fitted to carry them, and this became an increasingly important revenue source for the company. By the 1920s, traffic had increased enough to require a second vessel. The Depression caused traf- fic to drop, but with World War II passenger and freight traffic increased. In the late 1960s, the company had purchased a used vessel to add to the fleet. While there was recurring considera- tion of bridging Long Island Sound, the projects never occurred, and the Port Jefferson Ferry continued to be the primary access from Central Long Island to Connecticut. In the 1980s, the company added two new, faster vessels: the Grand Republic and the Park City. Two additional vessels were purchased in 1999 and 2003. Service from Stonington, Connecticut, to Greenport, New York (terminal of the Long Island Railroad), began in the mid 1800s. By the 1940s, the service evolved into the New London (Con- necticut) to Orient Point (New York) route that currently operates (Cambridge Systematics, Inc., et al., 2005). In 1975, John Wronowski purchased the New London Freight Lines ferry service and changed the name of the ferry service operating between New London and Orient Point to Cross Sound Ferry Services Incorporated. Starting with three vessels purchased from the previous operator, Cross Sound began an incremental but consistent capital improvement program. In 1978, the company developed a new ferry terminal just to the north of the existing New London Amtrak Station. New vessels were purchased in 1977, 1979, and 1983, and in 1984, the company pur- chased and rebuilt an existing vessel. In 1989, 1998, 1999, and 2003 additional vessels were added to the fleet (Cross Sound Ferry Service, Inc., 2008). In 1995, Cross Sound added a high-speed ferry to complement its conventional vehicle ferry. The Connecticut casinos had increased walk-on passengers to the point where the existing pas- sengers were being inconvenienced. The Sea Jet 1 is a wave-piercing catamaran designed in Aus- tralia and built in Washington state. Both the ride-control system and the water jets were ini- tially unreliable, but over a period of about 5 years, Cross Sound staff brought the vessel to a high level of service reliability (Interview with Cross Sound Ferry, January 7, 2010). Both Cross Sound and the Port Jefferson Ferry report that passenger volumes have declined by about 10 to 15 percent and vehicular volumes are about 10 to 25 lower than 2004, which rep- resents the highest year. In addition, both carriers noted that truck volumes, which are prima- rily agricultural and construction related, declined by as much as 40 percent Organizational Structure Both the Port Jefferson Ferry and Cross Sound Ferry Service are privately owned and are part of larger maritime enterprises. The Port Jefferson Ferry was purchased in 1961 by the McAlllister Towing and Transporta- tion Company, which operates 70 tugboats and 24 tractor tugs in 12 ports. The Port Jefferson Ferry owns the terminal in Port Jefferson but leases a terminal in downtown Bridgeport from the Bridgeport Port Authority. 20 Guidelines for Ferry Transportation Services

Cross Sound Ferry Service is part of the Wronowski Marine Companies, which includes Thames Towboat Company, Thames Shipyard & Repair, and Block Island Ferry Services. The Wronowski enterprises employ up to 400 people and have an annual payroll of approximately $16 million. All facilities used by Cross Sound Ferries, including terminals and vessels, are owned by the company. It should be noted that the company has received public funding to repower its vessels to reduce fuel consumption and emissions. Operational Structure System/Service Routes Three private operators provide service across Long Island Sound, as shown in Table 5-1 and Figure 5-1. Ferry Case Studies 21 Table 5-1. Connecticut–Long Island ferry system routes. Operator Route Service Season Service Schedule Crossing Time Port Jefferson Ferry Bridgeport–Port Jefferson Year-Round Departures 60 min—peak season and peak days 90 min—other times 75 min Cross Sound Ferry New London– Orient Point Year-Round Departures 60 min 90 min Viking Fleet Ferries New London– Montauk Seasonal Selected sailing days 60 min Figure 5-1. Connecticut–Long Island ferries route map.

Bridgeport–Port Jefferson Ferry. The Bridgeport–Port Jefferson route is operated by Port Jefferson Ferry. The crossing time between Bridgeport, Connecticut, and Port Jefferson, New York, is about 75 minutes one way. Port Jefferson Ferry uses three vessels to provide ferry service: the Grand Republic, the P. T. Barnum, and the Park City. Figures 5-2 and 5-3 show photographs of Port Jefferson ferries. The Bridgeport ferry terminal is located in downtown Bridgeport and is adjacent to the Bridge- port train station. Bridgeport is Connecticut’s largest city and is about 60 miles east of New York City. The company leases about 3.5 acres, including the terminal and dock, from the Bridgeport Port Authority. The facility provides space for automobile queuing, as well as limited kiss-and- ride capacity. The Bridgeport Port Authority is planning to build an onsite garage for the ferry ter- minal; in the meantime, automobile parking is also available in structured parking on the other side of the train tracks and freeway. There is a large structured lot close to the ferry terminal, and ferry passengers are allowed to use it on weekdays and on weekends when there are no stadium/ 22 Guidelines for Ferry Transportation Services Figure 5-2. Port Jefferson ferry approaching the Long Island terminal. Figure 5-3. Port Jefferson ferry vehicle deck.

arena events. The Bridgeport ferry terminal provides good intermodal connectivity between com- muter and intercity rail and local and intercity bus service and good vehicular access from the Connecticut Turnpike. The parking access is limited, and the pedestrian path from the structured parking into the terminal is not attractive. The elevated Interstate highway and railroad structures create a large visual and physical barrier between the ferry terminal (and the waterfront) and the downtown. Cross Sound Ferry. Cross Sound Ferry operates a ferry route across Long Island Sound from New London, Connecticut, to Orient Point, New York. The New London–Orient Point Ferry operates year-round from the New London train/bus station to the far northern tip of Long Island at Orient Point. The one-way crossing time is 75 to 80 minutes. During the summer, ser- vice operates every 90 minutes; on Fridays, Sundays, and holidays, ferries operate as frequently as hourly. In the winter, service is reduced to seven round trips on weekdays. Cross Sound Ferry has a fleet of seven conventional ferries that operate at speeds between 12 and 15 knots and can carry from 22 to 120 automobiles and from 130 to 1,000 passengers. In addition to the conventional ferries, during the spring and summer, Cross Sound also oper- ates a high-speed (30-knot) ferry on the same route (Sea Jet 1). This ferry seats 400 passengers but carries no vehicles. The Sea Jet1 can sail between Long Island and New London in about 40 minutes and operates up to six round trips daily. Both the New London Ferry Terminal and the Orient Point Terminal are owned by Cross Sound Ferry. In New London, the ferry terminal is adjacent to downtown and the train station and intercity bus station and also has connections to the local transit system. About 11 Amtrak trains serve the train station in each direction daily. However, the railroad has an at-grade cross- ing, which creates an awkward pedestrian path connecting downtown, the train, and the ferry. Automobile parking for ferry passengers is available in a municipal garage nearby. Shuttle buses operate to the Foxwoods Casino, and New England colleges often shuttle students to the New London Ferry Terminal when school sessions begin and end. The New London Ferry Terminal is located on a 30-acre site at the mouth of the Thames River, with queuing areas leading to the conventional automobile ferry and a separate dock for the high-speed catamaran. The terminal uses an Internet-based reservations system that provides the customer with the ability to print a bar-coded boarding pass. Orient Point is located at the east end of Long Island’s North Fork. Access from the west is via NY Highway 25, a two-lane rural road. The terminal has a queuing area for the conventional vehicle ferries and a parking lot with space for about 250 automobiles. The Long Island Railroad (LIRR) terminal in Greenport is about 7 miles to the west. Monday through Saturday bus ser- vice is provided hourly during daytime periods and connects Orient Point with Greenport and Riverhead. During 2003–2004, Long Island Sound communities studied the potential of ferry service between Connecticut and Long Island and between Connecticut and Manhattan. More than 50 possible sites were investigated for possible service and were ranked based on community acceptance, land use compatibility, and technical and market feasibility. The study identified six fast ferry routes (including two routes already operated by conventional craft) as viable, and two new conventional ferry routes in the first screening. However, after further technical review and comments from local governments, the study recommended only one new Connecticut to Long Island service and three Connecticut to Manhattan services. Several water taxi services were also recommended for further study. Viking Fleet Ferries. During the summer season, Viking Fleet Ferries operates a ferry service from Montauk, New York, to Cross Sound’s New London Terminal. This service only operates on Ferry Case Studies 23

Friday and Sundays and some holidays. The crossing time from Montauk to New London is about one hour. Viking Fleet uses a 225-passenger monohull to provide this service. Viking Fleet is pri- marily a party fishing operator but also operates daily scheduled ferry service from Montauk to Block Island, Rhode Island. Facility and Vessel Maintenance Bridgeport–Port Jefferson Ferry. The Port Jefferson Ferry vessels carry 85 to 120 automo- biles and 1,000 passengers. Over the last several years, the ferry company has received federal funding to repower its vessels with more modern and fuel-efficient (and less carbon-intensive) engines. Not only have emissions been reduced by about 13 percent, but power has been increased to 1,000 horsepower, and the engines operate with less vibration and noise. At Bridgeport, Port Jefferson Ferry pays a rent of about $150,000 annually (including the util- ities), which includes dock access, the queuing area, and a modest terminal structure. In addi- tion, the Port Authority charges about $1 per passenger, which is, in effect, a passenger facili- ties charge. This charge has been litigated between the Port Authority and Bridgeport–Port Jefferson Ferry and is currently in court for final disposition. In response to the Port Author- ity’s passenger tariff, the ferry company has proposed to relocate to another site, away from downtown Bridgeport. On Long Island, Port Jefferson Ferry owns the ferry terminal and about 280 linear feet of shoreline to perform maintenance work and administrative functions at the Port Jefferson Ter- minal. The Town of Brookhaven and the Village of Port Jefferson provide several parking lots, totaling about 200 spaces, within walking distance of the Port Jefferson terminal. The LIRR sta- tion, which has service to New York City, is about a mile south of the ferry terminal. Local bus ser- vice is provided between the ferry terminal and the LIRR station on four routes, with a combined frequency of about every 20 to 30 minutes. Highway access to the ferry dock is via non-grade- separated state highways and local roads. The ferry terminal is about 10 miles from Interstate 495 in Medford on Central Long Island. Cross Sound Ferry. Over the last several years, Cross Sound Ferry, like the Port Jefferson Ferry, has received federal funding to repower its vessels with more modern and fuel-efficient (and less carbon-intensive) engines. Cross Sound Ferry has achieved a 20-percent reduction in emissions and fuel consumption with this retrofit. The company also maintains its vessels and rebuilds engines at its own shops and provides commercial repair services to other vessel operators. Cross Sound esti- mates that its largest ferry, the John H., which carries 120 automobiles and 1,000 passengers, burns about 190 gallons of fuel on each one-way trip. The Sea Jet 1, a 30-knot, 400-passenger-only fast ferry, burns about 130 gallons of fuel on each trip (Adam Wronowski, Cross Sound Ferry, personal communication, March 22, 2010). Staffing Levels Bridgeport–Port Jefferson Ferry. Port Jefferson Ferry employs about 175 people during the peak season and about 125 in the off-peak periods. Many of the employees have master’s licenses, and all maritime employees have licenses. In addition, the company spends about $140,000 annu- ally on security training and monitoring and uses a variety of methods to ensure safe operation. Some of this expense is reimbursed by DHS funding. Cross Sound Ferry. Cross Sound employs about 300 employees in the peak season and about 150 in the off-peak season. The company hires almost all its employees at an entry level, trains the personnel, and encourages all of its maritime employees to become licensed masters. Cross Sound Ferry, like most ferry operators, takes security concerns seriously and has an active training pro- 24 Guidelines for Ferry Transportation Services

gram. Employees are trained to be aware and participate in drills and exercises. In addition, the company used federal funds to purchase lighting and surveillance equipment to provide addi- tional security. Financial Structure All ferries providing service between Connecticut and Long Island are privately owned and operated. The only government funding they have received has been for engine upgrades (relat- ing to emissions reductions) and security enhancements. These amounts are minor compared to their passenger and vehicle revenues, which exceed $50 million annually. For Connecticut–Long Island route fares, see Table 5-2. Fares Both Port Jefferson Ferry and Cross Sound Ferry use variable pricing in peak periods. The peak periods for these services are generally on weekends and holidays. During these periods, some discounts—such as unlimited automobile passengers and discounts on trailers/buses, and so forth—are not available. In addition, commuter tickets are also available. Both the Port Jefferson Ferry and the Cross Sound Ferry have vehicle reservation systems. These systems provide the ability to manage vessel capacity and ensure the capacity is well used throughout the day. Market studies conducted by each company indicate that the majority of ferry passengers live on Long Island. For the Bridgeport–Port Jefferson and Cross Sound Ferry services, about 55 to 60 percent of the passengers originate on Long Island. Most Cross Sound Ferry passengers reside in Suffolk County (the easternmost county). The other 45 percent of passengers are distributed throughout Central and Eastern New England. In addition, Port Jefferson Ferries reports that about 70 percent of its walk-on, return-day-trip passengers originate in Bridgeport (these trips make up about 20 percent of their total passengers). Funding Sources As all of the operators in this case study are privately owned, each garners revenues from a vari- ety of sources. Cross Sound Ferry and Port Jefferson Ferry obtain revenues through passenger fares, onboard and terminal concession stands, and restricted federal emission grants. Viking Ferries also has a large charter and private rental business that supplements their passenger ferry service. Ferry Case Studies 25 Table 5-2. Connecticut–Long Island ferry system route fares. Route Operator Automobile Ferry Fare Adult Walk-on Child Walk-on Automobile Bicycle Motorcycle Bridgeport–Port Jefferson Port Jefferson Ferry $17.00 Free $51 Free $29.75 New London– Orient Point (Automobile Ferry) a Cross Sound Ferry $14.51 $6.00 $47.67 (includes $2 Port tax) $4.15 $27.98 New London– Orient Point (Sea Jet 1)b $20.21 $6.22 n/ac n/a New London– Montauk Viking Fleet Ferries $40.00 $25.00 n/a $7 n/a aCross Sound charges a floating “surcharge” against a base fare that reflects changes in fuel prices. bThis is a passenger-only ferry. cNot applicable.

Planning Issues Both Cross Sound Ferry and Port Jefferson Ferry have large, well-established operations. In interviews, their executives expressed comfort with their maritime operations, their ability to maintain and operate vessels, and their ability to provide necessary capital enhancements needed to maintain market share. Both operators, however, identified government leadership and public policy as important to enhancing the ability of the marine transportation mode to divert automobiles from the highway system and to create more sustainable transportation systems. Both Cross Sound Ferry and Port Jefferson Ferry have experienced challenges in expanding their services due to local concerns and the high financial expense and permitting maze of investing in terminal facilities. Environmental and Regulatory Issues From a systems perspective, both Cross Sound Ferry and Port Jefferson Ferry noted that fer- ries could decrease energy consumption and help achieve other public policy goals. However, there is not a consistent recognition of the importance of and the opportunities provided by a marine highway system. The Long Island Sound Waterborne Transportation Plan (2005) esti- mated that ferries captured about 23 percent of the Long Island–Connecticut travel. Ferries carry about 2.3 million passengers annually, which means that approximately 7.7 million passengers between Connecticut and Long Island use highway modes annually (or about 25,000 trips daily) (Cambridge Systematics, Inc., et al., 2005). Travel between Connecticut and Long Island can be accomplished via ferry or automobile. The ferry operators think of their catchment areas as an oblong circle where their Long Island terminals are located west of the midpoint. Trips within that oblong are ferry-competitive but trips outside are not. For comparison, Table 5-3 provides data for the trip from Huntington, New York, to Bridgeport, Connecticut, on highway and ferry. Table 5-4 shows the change in travel time and fuel use with a fast-ferry option. Table 5-5 provides data for a different trip from Long Island to New London via either high- way or ferry. As ferry speeds increase (or highway travel times decrease), the ferry catchment area increases because the ferry travel times become more competitive than the highway travel times. In all cases, using the ferry results in fuel usage reductions of about 15% to 25%, depending on automobile occupancy (the lower the automobile occupancy, the higher the fuel savings from ferries). In congested corridors, ferry travel times to the ferry terminal are com- 26 Guidelines for Ferry Transportation Services Table 5-3. Huntington (NY) to Bridgeport (CT)—automobile vs. ferry travel. Mode Miles Travel Time Cost Per Vehicle Fuel Used Highway—Clear 75 80 min $40 4 gala Highway—Congested 75 120 min $45 5 gal Automobile to Ferry— Ferry to Bridgeport 25 130 min $70 3 gal per auto carried including ferry fuel used aAutomobile cost based on 55 cents per mile operating cost. This is the IRS allowance.

petitive with automobile travel times. Conventional ferries allow for automobile use at either terminal, but the passenger-only, fast-ferry market is limited by the need to complete trips beyond the immediate ferry terminal area. As a result, while using passenger-only fast ferries could be more fuel efficient than driving (per Table 5-4), the market for these trips may be limited and hence not financially viable. Land Use Issues Cross Sound Ferry and Port Jefferson Ferry mentioned that their Long Island host communi- ties are sensitive to increases in service and expansion of terminal facilities. However, both com- panies recognize that there is latent demand that cannot currently be accommodated and that results in additional highway trips and vehicle miles traveled. In New London, the town is interested in developing a multimodal center where ferries are one piece of the puzzle. The multimodal center is seen as an economic catalyst for redevelop- ment in the town center. Bridgeport is faced with urban design issues that limit the ability to create optimal pedestrian and bicycle environments that encourage movements between the train station and ferry termi- nal. It is unlikely that changes in the urban infrastructure scheme will change in the near future to allow for redevelopment to occur. Port Jefferson and Orient Point communities have both restricted land use growth around the ferry terminals. Emergency Response After the attacks of September 11, 2001, ferries provided the only transportation from Long Island. While there is no formal emergency response system that the ferry operators work with, a more structured arrangement is being considered by local and state authorities. Ferry Case Studies 27 Table 5-4. Huntington (NY) to Bridgeport (CT)—automobile vs. fast-ferry travel. Mode Miles Travel Time Cost Total Fuel Useda Highway—Clear 75 80 min $40 1,600 gal Highway—Congested 75 120 min $45 2,000 gal Automobile to Fast Ferry 25 70 min $30 730 galb a Calculation assumes 400 vehicles traveling from Huntington to Bridgeport. Fast-ferry alternative assumes a 25 mile drive to ferry terminal and then walk-on passengers. bBased on 1.5 passengers per automobile, 22 mpg per automobile, and $20 fast ferry fare per passenger Table 5-5. Riverhead (NY) to New London (CT)—automobile vs. ferry travel. Mode Miles Travel Time Cost Per Vehicle Fuel Used Highway—Clear 200 220 min $110 10 gal Highway—Congested 200 300 min $120 12 gal Automobile to Ferry 30 140 min $70 3 gal per auto carried including ferry fuel used

New York Harbor Ferries 28 Guidelines for Ferry Transportation Services Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) New York Waterway Transit– Ferry Urban 16 34 9,855,000 n/aa 8–25 New York Water Taxi Transit– Ferry Urban 1? 11 438,000 n/a 3–9 Statue Cruises Transit– Ferry Urban 1 1 146,000 n/a 17 Seastreak Transit– Ferry Urban 2 4 1,095,000 n/a 6–9 Staten Island Ferries Transit– Ferry Urban 1 10 23,725,000 n/a 5–45 aNot applicable Quickfacts History Birth, Growth, and Decline The history of scheduled ferry service in New York Harbor extends back more than 200 years. Rowboats connected Manhattan with Brooklyn before the Revolution. Service to Staten Island began in the 1820s. New York City records indicate that by 1860 eight ferries were authorized to operate across the Hudson River to New Jersey. After the Civil War, as both commerce and rail- way traffic increased, ferry traffic also continued to grow. The railroads built large ferry termi- nals in New Jersey to serve New York City—Erie Terminal, Central Terminal of New Jersey, Pennsylvania Terminal in Jersey City, the Lackawanna Terminal in Hoboken, and the West Shore Railroad Terminal in Weehawken. The first fixed link across the Hudson River was developed by the Manhattan & Hudson (now Port Authority Trans-Hudson [PATH]) urban trains and linked Jersey City, Hoboken, and Man- hattan. The Hudson Tubes opened in 1908 and immediately diverted passengers from the ferry services, although the Pennsylvania Railroad continued to operate its ferries from Jersey City. The Hudson Tubes carried almost 50 million passengers annually just a few years after opening and now carry about 85 million passengers. In 1910, the Pennsylvania Railroad opened Pennsylvania Station on 34th Street, a terminus for rail connections to New Jersey, through an extensive network of commuter trains and two under- water tunnels. These tunnels now carry about 45 million passengers annually under the Hudson. In 1927, the states of New Jersey and New York opened the Holland Tunnel, the first vehic- ular access into Manhattan from New Jersey. About 34 million vehicles annually now use the Holland Tunnel. In 1931, the George Washington Bridge opened between New Jersey and Manhattan and soon carried more than 5 million vehicles annually. In the late 1930s, the Port Authority opened the first bores of the Lincoln Tunnel into the midtown area of New York City. In 1950, the Port Authority Bus Terminal (PABT) opened near Times Square. The Lincoln Tunnel now carries more than 42 million vehicles annually, and the PABT handles about 200,000 passengers daily. The George Washington Bridge serves more than 106 million vehicles each year. Ferries also crossed the East River and connected Manhattan to Brooklyn and Queens. These ferries were among the first to cease operations when the city built the Brooklyn and the Williamsburg Bridges. In 1920, the Long Island Railroad was extended into Pennsylvania Sta- tion connecting Manhattan to Brooklyn and Queens directly with fast electric trains.

As a result of these new fixed links, ferry service dwindled. Passengers either took direct trains into Manhattan or drove their automobiles into the city. The last scheduled ferries operated from Hoboken to Manhattan in 1967 (Wikipedia, accessed March 4, 2010). Only the New York City- operated Staten Island Ferry continued to operate. Revival, Growth, and Stabilization By the early 1980s, the cross-Hudson fixed links were straining to keep up with demand. At the same time, industrial brownfield sites on the New Jersey side of the Hudson River became available as industry moved to new locations and factories became obsolete. The sites were large, which allowed for master planning and dense, efficient development. Additionally, these sites had views of Manhattan and direct access to the Hudson River. What they did not have was easy access from the mainland. Arthur Imperatore, the President of NY Waterway, credits Regional Plan Association staff with inspiring the New Jersey Waterfront reuse vision, which combined residential and com- mercial development with access improvements. The two major access improvements were direct ferry connections to Manhattan from multiple New Jersey terminals and a light rail sys- tem operating along the waterfront from Bayonne to Weehawken, which created a development spine and linked ferry terminals, PATH stations, and the NJ Transit’s Hoboken Terminal (Inter- view with Arthur Imperatore, New York Waterway, January 10, 2010). This vision has resulted in more than 6,000 housing units being developed on the west side of the Hudson between 1990 and 2000, with additional units developed over the last 10 years, along with millions of square feet of commercial space (U.S. Census Bureau). Mr. Imperatore’s related firms initiated service from Weehawken, where he had purchased 350 acres of old railroad yards in the mid-1980s. Ferries operated from Port Imperial to West 38th Street in New York City. Within a year, approximately 1,500 daily passengers were rid- ing the Weehawken ferry (Regional Plan Association, 2006). Concurrently, the Port Author- ity was experiencing significant capacity issues in its tunnels, at the PABT, and on PATH. The Port Authority considered extending PATH station platforms to allow longer trains, but this alternative was too costly. Instead, the agency decided to try ferries. In the mid-1980s, the Port Authority issued a Request for Proposals from parties interested in providing ferry service from the NJ Transit’s Hoboken Terminal to lower Manhattan (Interview with Port Authority, January 10, 2010). A 2006 Regional Port Authority white paper summed up the contemporary role of ferries in New York harbor: Over the last 100 years or more [ferries have] gone from essential to non-existent (with the excep- tion of the Staten Island Ferry) and then in the last twenty years to a role that might best be described as “niched.” These niches include ferry services that are either part of intermodal connections or in other ways complement existing transit modes, services that provide better options than the existing ground modes, and services that can open up new development opportunities. When searching for additional ferry service opportunities, it is these characteristics to be kept in mind. (Regional Plan Asso- ciation, 2006) New York Harbor now has 21 ferry routes serving Manhattan operated by six different ferry operators (five private operators and one public agency). Most routes are 3 to 5 miles long and take 10 to 15 minutes. More than 30,000 daily passengers use private ferry services from 13 New Jersey ferry terminals to four Manhattan landings. These trips make up about 4 percent of daily travel into Manhattan from New Jersey (New York Metropolitan Transportation Council, 2008). Additional service is provided from Brooklyn and Queens to Manhattan. The iconic Staten Island Ferry carries about 65,000 passengers daily into Manhattan at Whitehall. Ferry Case Studies 29

Organizational Structure New York Harbor ferries are primarily private-sector businesses and are similar to the Amer- ican aviation system—government provides the infrastructure while the private sector is respon- sible for the planning, design, financing, and operation of ferry services. This unique metropolitan arrangement was greatly influenced by two government actions: • The Mayor’s Waterborne Transportation Policy, adopted in 1986, which established the pub- lic and private sector roles: – The City and other public agencies will encourage ferry services. – No operating subsidies will be provided to ferry operators (including subsidies for vessels). – The City would consider making City land available for landing sites and would set up a reasonable regulatory framework (i.e., landing permits). – The City would not object to premium fares (Interview with Alan Olmstead, New York City Department of Transportation, January 10, 2010). • The Port Authority’s Request for Proposals for privately operated ferry services (service initi- ated in 1989) between Hoboken and Battery Park City, with the private sector assuming the operating risk and the Port Authority providing the fixed facilities. In effect, the arrangement was a free market system with the freedom to enter the market and the freedom to fail. As a result, there was significant experimentation with new service to Pier 11 near Wall Street, East 34th Street, West 38th Street (later replaced by Pier 79), and to Battery Park City. Fees charged to ferry operators funded operating and maintenance expenses for the fixed facilities, and the City and Port Authority continued to build terminal capacity as private oper- ators incrementally expanded service. During this period, the public sector invested more than $350 million in trans-Hudson ferry facilities (Interview with Alan Olmsted, New York City Department of Transportation, January 10, 2010). New York Waterway was selected by the Port Authority to provide the Hoboken–Battery Park City Ferry Service and, by June 2001, was serving more than 10,000 passengers daily. The route now serves about 4,000 passengers daily, with another 2,000 passengers using the Hoboken Ferry Terminal to access other Manhattan destinations. Ridership incrementally expanded and, by 2001, about 35,000 passengers were using privately operated ferries in addition to the 65,000 passengers using the Staten Island Ferry. After the attacks of September 11, 2001, with the PATH World Trade Center Station destroyed, private ferry ridership surged to more than 65,000 daily. In 2003, PATH resumed service to lower Manhattan and ferry ridership dropped back to the levels preceding the attacks of September 11, 2001. Fuel costs put financial pressure on ferry providers because fuel costs are a much larger part of overall costs for ferry operators than fuel costs are for operators of other modes. Ferry operators increased fares as a result, and ridership dropped again to about 30,000. Some industry observers note that the New York policy model, as detailed in the Mayor’s Waterborne Transportation Policy, is being challenged as operators experience financial stress caused by competition from subsidized operators, increases in costs, and decreases in ridership resulting from higher fares and the recession. There have been calls for ferries to be subsidized, just as other modes of transportation are subsidized. Operational Structure System/Service Routes In New York Harbor, aside from the publicly operated Staten Island Ferry, five private operators provide service to 4 Manhattan terminals, 13 New Jersey locations, and 6 Queens/Brooklyn sites. 30 Guidelines for Ferry Transportation Services

New York Waterway. The largest operator is New York Waterway, which operates 16 ferry routes, including eight operated for BillyBey Ferries. Until 2005, all of these routes were under the direct control of New York Waterway, but following financial challenges, the company spun off the routes south of NJ Transit’s Hoboken Terminal (including that route and the Port Authority contract) to BillyBey for the assumption of $19 million in debt. BillyBey then con- tracted with New York Waterway to provide the service on their behalf. New York Waterway routes carry about 17,000 passengers (not including the Belford route in Monmouth County), while the BillyBey routes carry about 10,000 daily passengers. Most of the access to the New Jersey ferry terminals is by walking or other transit. While a few ter- minals have large parking lots, ferries were often developed to encourage dense, urban development. (See a photo of New York Waterway’s Weehawken Terminal in Figure 5-4). New York Waterway operates free shuttle buses connecting Pier 78 to Manhattan—serving 57th Street, 49th Street, 42nd Street, and 34th Street, as well as a special Downtown loop. Five peak period routes operate, and, in the midday and at night, a separate set of five routes oper- ates in longer loop routes (one route also connects to the World Financial Center Terminal). On the New Jersey side, a combination of shuttle buses and free transfer arrangements on one NJ Transit route provide local access. New York Water Taxi. The next largest private ferry operator is New York Water Taxi. Until 2011, the company operated service from Manhattan to Brooklyn and Queens, locations that tend to be distant from subway lines (these services are now operated under public agency contract by New York Waterway). New York Water Taxi currently operates a contract service for the IKEA store in Red Hook (Brooklyn), which provides access to the store from Manhattan (see photos of this service in Figure 5-5). Weekend service was initially required as a condition of IKEA’s City approvals. However, eventually IKEA chose to extend and expand the service under a contract with New York Water Taxi; the service now operates daily. On some days, IKEA ridership has reached 5,000 passengers. Seastreak. Ferry service to Monmouth County, New Jersey, is a distinct niche, catering to residents in a high-income residential area that will pay premium fares for shorter travel times as compared to highway or train. Seastreak uses four high-speed vessels to provide this service Ferry Case Studies 31 Figure 5-4. New York Waterway Weehawken Terminal.

from Atlantic Highlands and Highlands, New Jersey, while New York Waterway serves Belford, New Jersey, with one high-speed vessel. Both operators terminate in Manhattan at Pier 11. Even though the monthly passenger fare approaches $600, the services are well sub- scribed. Seastreak carries about 3,000 daily, while New York Waterway carries about 1,600. The niche for ferries in this market is speed—the journey is less than half the distance by water than by highway or train, and the travel time is about 50 minutes compared to at least a 75-minute automobile trip and a 90-minute train trip. In contrast to the other New Jersey ferry terminals, the Monmouth County terminals have large park-and-ride lots to serve a dispersed ridership. Seastreak notes the importance of park-and-ride lots in attracting and maintaining market share (Halcrow Interview with Jim Barker of Seastreak, on behalf of Port Authority, December 8, 2009). 32 Guidelines for Ferry Transportation Services Figure 5-5. New York Water Taxi to Ikea in Brooklyn.

Staten Island Ferry. Finally, the Staten Island Ferry continues to provide service between Manhattan and Staten Island and carries about 65,000 passengers daily, making it the busiest ferry operation in North America. Service is provided by large, 1,200- to 6,000-passenger ferries oper- ating every 15 minutes in the peak period and every 30 minutes at other times. The 5-mile route takes about 25 minutes, and there is no fare. In 1997, the Staten Island Ferry became a free ser- vice, in conjunction with the Metropolitan Transportation Authority’s switch to free transfers on other New York City transit services (including subway to bus and commuter rail to subway). In addition, Statue Cruises operates one commuter service between Liberty Landing Marina in New Jersey and Battery Park City in New York City. About 400 people daily use the service. Tables 5-6 and 5-7 show the various routes, services, and crossing times/locations, by operator in New York Harbor. See Figures 5-6 and 5-7 for route maps. Facility and Vessel Maintenance Ferry operators employ a variety of vessels, which has resulted in the development of ferry ter- minals that can serve vessels that board from the side or the bow. Nonetheless, bow loading is the predominant docking arrangement in New York Harbor because it allows the vessel opera- tor to avoid excessive maneuvering into a dock; instead, the vessel bumps against the dock and a gangway is lowered onto the deck. Approach and boarding are faster because the gangway allows several streams of passengers to board at once. Furthermore, because the dock and vessel have the same freeboard, a separate ramp is not required, and capital costs are reduced. This design also facilitates emergency responses. Marine Log noted that on September 11, 2001, “Because of their bow-loading design, NY Waterway’s [New York Waterway’s]ferries were pressed into service as waterborne ambu- lances. . . . With all of Manhattan’s arteries shut down and its subways at a standstill, NY Water- way put 22 of its 24 ferries in ‘load and go’ service at piers in lower and Midtown Manhattan, taking a total of 158,506 evacuees to points in Jersey City, Hoboken and Weehawken, N.J., as well as Brooklyn and Queens” (Snyder, 2001). Safety is a high priority, and ferry operators report that their conflicts are primarily with kayaks, jet skis, and swimmers. In addition, the waterways can sometimes be closed for digni- taries, thereby creating schedule concerns. New York Waterway. New York Waterway operates 34 vessels, mostly small 149-passenger catamarans with three crew members, operating at 15 knots. The company directly operates large terminals at Port Imperial and Hoboken in New Jersey and Pier 79 and the World Financial Cen- ter in New York City. New York Water Taxi. New York Water Taxi operates 10 vessels, including five 149-passenger, 26-knot vessels and five 75-passenger, 21-knot vessels. Seastreak. Seastreak uses four high-speed vessels to provide service from Atlantic Highlands and Highlands, New Jersey, while New York Waterway serves Belford, New Jersey, with one high-speed vessel. Staten Island Ferry. Service for the Staten Island route is provided by large, 1,200- to 6,000- passenger ferries. Staffing Levels Each ferry operator has a unique culture and different approaches for hiring and retaining ves- sel crews. Most of the private operators hire locally, at entry level, and then gradually promote employees into higher levels of responsibility. Some operators hire personnel with fishing boat Ferry Case Studies 33

34 Guidelines for Ferry Transportation Services Table 5-6. New York Waterway ferry services. Route Service Season Service Schedule Crossing Time Crossing Location Manhattan Midtown/W. 39th– Belford/Harbor Way Year-round Departures Once per day 60 to 67 min Raritan Bay/Lower New York Bay Manhattan Midtown/ W. 39th–Edgewater Ferry Landing Year-round Departures Every 30 min 15 to 20 min Hudson River Manhattan Midtown/W. 39th– Hoboken 14th Street Year-round Departures Every 20 min 10 min Hudson River Manhattan Midtown/ W. 39th–Lincoln Harbor/Weehawken Year-round Departures Every 15 min 7 to 8 min Hudson River Manhattan Midtown/ W. 39th–Newport Year-round Departures Every 30 min 10 to 15 min Hudson River Manhattan Midtown/ W. 39th–Paulus Hook Year-round Departures Every 30 min 15 min Hudson River Manhattan Midtown/ W. 39th–Port Imperial/ Weehawken Year-round Departures Every 20 min 8 min Hudson River Manhattan Pier 11/ Wall Street–Belford/ Harbor Way Year-round Departures Every 15 min 40 to 55 min Raritan Bay/Lower New York Bay Manhattan Pier 11/ Wall Street–Hoboken/ NJ Transit Terminal Year-round Departures Every 10 to 20 min 12 min Hudson River Manhattan Pier 11/ Wall Street–Liberty Harbor/Marin Blvd Year-round Departures Every 15 min 15 min Hudson River Manhattan Pier 11/ Wall Street–Paulus Hook Year-round Departures Every 15 min 8 min Hudson River Manhattan Pier 11/ Wall Street–Port Imperial/Weehawken Year-round Departures Every 10 to 20 min, no service between 10 a.m. and 4 p.m. 18 to 22 min Hudson River Manhattan Pier 11/ Wall Street–Port Liberte Year-round Departures Every 40 min 20 min Hudson River Manhattan World Financial Center– Belford/Harbor Way Year-round Departures Every 30 min 40 to 55 min Raritan Bay/Lower New York Bay Manhattan World Financial Center– Hoboken/14th Street Year-round Departures Every 30 min 8 min Hudson River Manhattan World Financial Center– Hoboken/NJ Transit Terminal Year-round Departures 10 to 30 min 8 min Hudson River Manhattan World Financial Center–Liberty Harbor/Marin Blvd Year-round Departures Every 24 min 12 min Hudson River Manhattan World Financial Center– Paulus Hook Year-round Departures 7 to 8 min 8 min Hudson River Manhattan World Financial Center–Port Imperial/Weehawken Year-round Departures 20 to 40 min 14 to 15 min Hudson River Paulus Hook – Belford/Harbor Way Year-round Departures 20 to 75 min, 5:45 a.m. to 9:30 a.m., 30 to 120 min 2:40 p.m. to 8:55 p.m. 55 to 60 min Raritan Bay/Lower New York Bay Haverstraw–Ossining Year-round Departures 30 min until 8:42 a.m., one departure at 4:12 p.m. Every 30 to 40 min in the p.m. from Haverstraw 15 min Hudson River Newburgh–Beacon Year-round Departures 30 to 40 min in a.m., 10 to 15 min in p.m. 9 min Hudson River East River Route Year-round Departures 2 a.m. departures, 3 p.m. departures 55 to 60 min East River

Ferry Case Studies 35 Table 5-7. New York Water Taxi, Statue Cruises, Seastreak, and Staten Island Ferry services. New York Water Taxi Statue Cruises Seastreak Staten Island Ferry Route Ikea Express Liberty Landing Marina–World Financial Terminal Connors Highlands–East 35th Street Staten Island– Manhattan Service Season Year-round Departures Year-round Departures Year-round Departures Year-round Departures Service Schedule Every 20 min weekdays from 2:40 p.m. to 7:20 p.m. Every 30 min weekdays from 6:00 a.m. to 8:45 p.m. a.m. and p.m. peak-hour service only from Connors Highlands, 30 to 75 min from Manhattan 15 to 60 min Crossing Time 15 min 10 min 60 min 25 min Crossing Location East River Hudson River Hudson River New York Harbor Figure 5-6. Hudson River and East River crossings to Manhattan. experience or even maritime academy training, but, in general, new employees begin as deckhands. Crew training and coordination with the Coast Guard is continuous for all ferry operators. New York Waterway. New York Waterway employs about 130 people as crew members and administrative staff.

New York Water Taxi. New York Water Taxi employs 50 to 100 employees depending on the season. Staten Island Ferry. The Staten Island Ferry employs about 625 staff, two-thirds of which are vessel crew. Financial Structure Fares Fares for New York Waterway, New York Water Taxi, Seastreak, and Staten Island Ferry are shown in Tables 5-8 and 5-9. Funding Sources Other than the Staten Island Ferry and a handful of demonstration services, the New York Harbor ferries do not receive operating subsidies. Public agencies have built ferry docks along the waterfront using municipal, regional, state, and federal funds, and, in general, the guidance provided by the Mayor’s 1986 Waterborne Transportation Policy continues to be followed. New York Harbor ferries now routinely carry 30,000 passengers each weekday (not including the Staten Island Ferry), with most of the use occurring on the trans-Hudson corridor. In this 36 Guidelines for Ferry Transportation Services Figure 5-7. Manhattan–New Jersey Shore map.

Ferry Case Studies 37 Table 5-8. Fares for New York Waterway. Route Fare Adult Child 6 to 11 years Senior Bicycle 10 Trip Monthly Student Monthly Manhattan Midtown/W. 39th– Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Manhattan Midtown/ W. 39th–Edgewater Ferry Landing $9.50 $6.00 $8.75 $1.25 $78.00 $272.00 $214.00 Manhattan Midtown/W. 39th– Hoboken 14th Street $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Midtown/ W. 39th–Lincoln Harbor/Weehawken $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Midtown/ W. 39th–Newport $7.25 $3.75 $6.25 $1.00 $72.50 $252.00 $180.00 Manhattan Midtown/W. 39th– Paulus Hook $7.25 $3.75 $6.25 $1.00 $72.50 $252.00 $180.00 Manhattan Midtown/ W. 39th–Port Imperial/Weehawken $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Pier 11/ Wall Street– Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Manhattan Pier 11/ Wall Street– Hoboken/NJ Transit Terminal $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Liberty Harbor/Marin Blvd $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Paulus Hook $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Port Imperial/Weehawken $12.00 $7.00 $11.00 $1.25 $100.00 $332.00 $263.00 Manhattan Pier 11/ Wall Street–Port Liberte $9.25 $4.75 $8.25 $1.00 $92.50 $312.00 $225.00 Manhattan World Financial Center– $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Belford/Harbor Way Manhattan World Financial Center– Hoboken/14th Street $10.00 $6.00 $9.00 $1.25 $80.00 $282.00 $220.00 Manhattan World Financial Center– Hoboken/NJ Transit Terminal $5.50 $2.75 $5.00 $1.00 $55.00 $181.00 $130.00 Manhattan World Financial Center– Liberty Harbor/Marin Blvd $5.00 $2.50 $4.50 $1.00 $50.00 $166.00 $124.50 Manhattan World Financial Center– Paulus Hook $5.50 $2.75 $5.00 $1.00 $55.00 $181.00 $130.00 Manhattan World Financial Center– Port Imperial/Weehawken $12.00 $7.00 $11.00 $1.25 $100.00 $332.00 $263.00 Paulus Hook – Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Haverstraw– Ossining $3.00 $2.75 $2.00 n/a a $27.00 $100.00 n/a Newburgh–Beacon $1.00 $0.50 $0.50 n/a $9.00 n/a n/a a Not applicable.

corridor, ferry service has encouraged the development of thousands of New Jersey residential units and has also contributed toward economic development on the west side of the Hudson. Ferries have also helped relieve overcrowding on the region’s fixed links, including the Holland Tunnel, the Lincoln Tunnel, and the PATH services. There is some concern that the 1986 model is fraying. All operators report some level of financial stress related to providing commuter services. The financial challenges result from high fixed costs and highly peaked service patterns that limit the ability of operators to spread costs out over the entire day—about 75 percent of ferry ridership occurs in the 4-hour peak periods (New York Metropolitan Transportation Council, 2008). While public agencies, through their ownership of the terminals, have removed a significant capital expense from the operators, the carrying costs of vessels are still assumed by the ferry companies and are significant. A $3-million ferry would likely require $300,000 annually in financing costs, rep- resenting the fares of about 60,000 passengers annually or 230 passengers each day. In addi- tion, diesel fuel costs in the mid-Atlantic area roughly doubled between 2000 and 2009 (com- pared to inflation which increased about 25 percent over that period) (U.S. Department of Energy, accessed April 14, 2010), changing the financing assumptions that the pre-2001 ferry system was based upon. Several New York Harbor ferry operators report data to the National Transit Database. In 2009, these ferry operators reported combined operating costs totaling about $43 million, result- ing in an average hourly cost of about $575. These costs include vessel capital expenses. It is likely that if the vessel costs were considered a public capital expense and were removed from the oper- ating expenses, operating expenses would be reduced by 15 to 20 percent (National Transit Data- base, 2010a, 2010b, 2010c). Planning Issues In spite of the current financial challenges facing ferry operators, City policy continues to encourage expansion of waterborne transit services. The public benefits of such services are eco- nomic development, congestion relief, and improved emergency response. New York City pro- vides a good example of the public benefits of patient, incremental expansion of ferry service under private control. The emerging paradigm for New York Harbor Ferries is as a transit service • Available for emergency response. • For areas that have few or poor transit options. 38 Guidelines for Ferry Transportation Services Table 5-9. Fares for New York Water Taxi, Statue Cruises, Seastreak, and Staten Island Ferry. Routes Fares Adult Child (6 to 11) Senior Bicycle 10 Trip Monthly Student Monthly New York Water Taxi Ikea Express $5.00 n/aa n/a n/a n/a n/a n/a Statue Cruises Liberty Landing Marina–World Financial Terminal $7.00 $5.00 $6.00 n/a $55.00 $220.00 n/a Seastreak Connors Highland–East 35th Street $23.00 $16.00/ $9.00 n/a $5.00 $192.00 $625.00 n/a Staten Island Ferry Staten Island– Manhattan Free aNot applicable.

• That is supplemental to overburdened parallel systems. • That may require modest public subsidies not exceeding other transit modes. • That provides a time savings relative to other alternatives. • That serves land uses and associated development that will help to attract sufficient ridership to support cost of vessel operation (Interview with David Hopkins, New York City Economic Development Corporation, April 12, 2010). One ferry operator mentioned that “build it and they will come” is not a model that works. However, interviews with a broad range of operators revealed that this model might eventually work, but it may take up to a decade for individual ferry routes to become profitable, and dur- ing this period public assistance is necessary. Land Use Issues Experience with New York ferries suggests that creating a density of travel, either through land development (or because of it) or by connecting with other transit services is an imperative. New York has the benefit of having very short ferry crossings—most are less than 10 minutes—allowing for one vessel to make three or four trips in an hour. Filling up the vessels requires passengers, and when ferries operate at full capacity they are a very efficient mode of transport. The City is currently identifying prime infill development sites along the East River, and all sites require good transit to succeed. Some of the best sites are at a distance from existing transit, and the best option for good transit could be fast and frequent ferry service. Emergency Response While the New York ferry resurgence was initially based on trans-Hudson congestion relief and Hudson River shore economic development, the system also became an important public safety service during the evacuation of Manhattan on September 11, 2001. Since then, emergency response has become an important public benefit of providing and maintaining ferry service. This benefit was reinforced during the power blackout in the Northeast United States in August 2003, during the New York City Transit strike in 2005, and when ferries evacuated US Airways Flight 1549 after its emergency landing in the Hudson River in January 2009 (Interview with Port Authority, January 10, 2010). As part of this expanded role, ferry operators participate in numerous training programs, Homeland Security initiatives, and practice drills to ensure that the ferry system can perform during an emergency. These are mandated costs to the ferry operators; however, except for some minor equipment grants, these costs are not reimbursed by an agency. In addi- tion, when an emergency does occur, the costs incurred are often reimbursed many months later or may never be paid. These requirements place additional financial stress on the ferry operators. North Carolina Department of Transportation Ferry Division Ferry Case Studies 39 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) North Carolina Department of Transportation Ferry Division Highway– Ferry Essential 7 21 2,100,000 950,000 5–25 Quickfacts

History North Carolina has a long history of using ferries as a form of transportation, especially in areas that are otherwise inaccessible by roads or are lacking easy road access. The current North Carolina Department of Transportation Ferry Division evolved from the state’s practice of acquiring private ferry routes that began around 1934. The first ferry route to eventually become part of the state’s ferry network connected Oregon Inlet with Whalebone Junction (North Carolina Department of Transportation, n.d.). Initiated as a private tug and barge conveyance system and later as a wooden trawler ferry, in 1934, the North Carolina State Highway Commission (Commission) began subsidizing the crossing to reduce the toll rates. Over time, the crossing gained in popularity and users and, in 1942, the Commission instituted fixed reimbursement for the ferry operator so as to discontinue tolls completely. New ferry routes came on line during the 1940s and 1950s, operated both by private entities and by the Commission. Concurrent to the expanding ferry system, the paving of Highway 12 allowed for greater access to the Outer Banks area, leading to increased demand on the ferry system. During the early 1940s, ferry service across the Croatan Sound was operated by a private entity before being acquired by the state in 1946. The Croatan Sound service continued until 1956, when the Governor Umstead Bridge was completed, thereby ending the Croatan Sound ferry operation. Highway 12 brought new demand for a ferry service between Hatteras and Ocracoke Island. The new ferry service was started by a private operator before being purchased by the state in 1957. The Alligator River crossing, the first ferry service constructed and operated by the state, began in 1947 and operated until 1962, when the Alligator River was bridged (North Carolina Department of Transportation, n.d.). Between 1940 and 1977, the North Carolina ferry system evolved as new services were added and then retired when new bridges replaced existing ferry service. During that 30-year span, ferry ser- vices were started and retired at Croatan Sound, Alligator River, Oregon Inlet, and Bogue Sound. In 1960, the Commission created a State Ferry Operations office independent of the Highway Division Administration in the town of Manteo. The State Ferry Operations department was charged with maintaining the ferry fleet, as well as managing all personnel. By 1964, the fleet had grown to a point where the state created the Marine Maintenance Facility, separate from ferry oper- ations, to more efficiently manage the two divisions. The Operations office moved to Morehead City to be more centrally located. In 1974, on the recommendation of a specially formed committee, the governor combined the State Ferry Operations and the Marine Maintenance Facility under one department, the Ferry Division, which would exist at the Highway Division level and be responsi- ble for all aspects of the state ferry system (North Carolina Department of Transportation, n.d.). Organizational Structure The current incarnation of the Ferry Division in North Carolina lives within the state depart- ment of transportation (DOT). The ferry routes and vessels that operate on these routes are con- sidered an extension of the state highway system, although the Ferry Division is on the same administrative level as the Highway Division within the DOT. As a public entity, all funding sources, budgetary decisions, and operational service are approved at the state’s highest level through the state DOT and by the governor. Legislative influence extends to yearly budgets and federal and state funding sources. The governor has the ultimate approval through the annual state budget process. North Carolina operates a statewide ferry system along its coast from the Knotts Island cross- ing near the Virginia/North Carolina border to the Fort Fisher crossing near the South Carolina/ 40 Guidelines for Ferry Transportation Services

North Carolina border. While the ferry system is operated by the state, the routes are a mixture of free and tolled crossings. Most of the shorter crossings are free for all users, with longer- distance routes charging one-way fares. The state has discouraged the implementation of tolling across all routes except for the long-distance routes with the understanding that the ferry system is part of the state highway system and thus is provided free to all users. This notion may be chal- lenged as the global economic downturn has begun to affect long-term budget allocations. In addition to the statewide ferry system, there are a few ferries that provide service to national parks located in the Outer Banks. These ferries are provided free of charge to park visitors. The National Park Service provides ferries to manage the number of people visiting the parks while maintaining the integrity of the park conditions. In 2009, the ferry system reduced service as a response to budget shortfalls and increased expenses. The Coast Guard mandate requiring additional crew aboard vessels forced North Carolina to remove some vessels from service in order to redistribute staff to the more heavily patronized routes. The governor recently announced that the service cutbacks were temporary, and service would be restored to previous levels in 2010 (Interview with North Carolina Ferry Division, January 14, 2010). Operational Structure System/Service Routes Currently, North Carolina is the second largest state-owned and -operated ferry system in the country, with service operating 365 days a year and offering over 200 daily departures during the summer season and 150 daily departures during the winter season. The system has seven ferry routes that provided service for nearly 1 million vehicle trips and 2.1 million passenger trips during the 2008–2009 fiscal year (North Carolina Department of Transportation, 2009). The North Carolina routes have developed organically, with implementation guided by demand for service. North Carolina began the ferry service through purchasing existing services from private operators with the aim of preserving or creating low-cost or free service. As demand for ferry service grew over the years, more routes were added, but in most cases bridges were seen as the permanent solution to providing access. The practice of replacing ferry service with bridges continued until most ferry routes that could be reasonably replaced were (as is documented with ferry routes that once existed across Croatan Sound, Alligator River, Oregon Inlet, and Bogue Sound). The ferry routes that remained are a collection of services for areas where bridges were either unwarranted or unwanted, such as Ocracoke Island. Table 5-10 highlights the current routes in the North Carolina ferry system. Figure 5-8 provides a route map. Facility and Vessel Maintenance North Carolina owns and operates all of its waterside facilities and vessels (Interview with North Carolina Ferry Division, January 19, 2010). Water landings and vessels were either pur- chased or built during the state ferry expansion. Some vessels were purchased directly from pri- vate operators and were folded into the agency, while others were acquired in conjunction with the United States Department of the Interior, which had established the Cape Hatteras National Seashore Park. Still other vessels were commissioned directly by the state to satisfy increasing ferry service demand. (See Figure 5-9 for a photo of a typical North Carolina ferry vessel.) North Carolina operates RO-RO ferries on all of their routes. The vessels are a mix of River Class and Sound Class ferries, of which the Sound Class ferries have specially designed hulls and propulsion systems to handle tricky sea conditions; some ferries are double-ended ferries. In total, the system has 21 vessels in its fleet, and there is one vessel on order (Interview with North Carolina Ferry Division, January 14, 2010). Ferry Case Studies 41

The state also owns and operates a vessel for dredging and piling work, the Dredge Carolina, and three tugs that assist it (Interview with North Carolina Ferry Division, January 14, 2010). The Dredge Carolina does work during the permitted time period allowed by regulators and is equipped for workers to live on board during the working season. North Carolina maintains all of its vessels at its central maintenance facility located at Manns Harbor. Maintenance is conducted by in-house engineers and technicians. They complete all required haul-outs, engine repowers, painting, and handle any vessel breakdowns. Maintenance 42 Guidelines for Ferry Transportation Services Table 5-10. North Carolina ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Bayview– Aurora Year-round Departures Every 1.5 h 30 min Pamlico River Currituck– Knotts Island Year-round Departures Every 2 to 3 h 45 min Currituck Sound Swan Quarter– Ocracoke Year-round Departures Every 3 to 6 h 2.5 h Pamlico Sound Cedar Island– Ocracoke Year-round Departures Every 2 to 3 h 2.25 h Pamlico Sound Hatteras– Ocracoke Jan 1–May 11, Sept 29–Dec 31 Hourly 40 min Hatteras Inlet Cherry Branch– Minnesott Beach Year-round Departures Every 30 min 20 min Neuse River Southport– Fort Fisher Year-round Departures Every 45 min to 2 h 35 min Cape Fear River Figure 5-8. North Carolina ferry routes.

parts are stored in a facility adjacent to the central maintenance facility, with usually approxi- mately $1.8 million worth of parts kept onsite (Interview with North Carolina Ferry Division, January 14, 2010). Maintenance parts are trucked to the three satellite facilities as needed. The three satellite facilities handle lighter-duty repairs to allow the vessels to return to duty within a short period of time. In addition to maintaining its own vessels, the state performs its own dredging, piling, and clus- ter work to maintain clear waterways within the various sounds. The state works closely with the United States Army Corps of Engineers to determine the optimal time for dredging allowance. When the dredging season is over, maintenance crews work to improve pilings and other water- side improvements and maintenance. North Carolina is one of the very few operators that provide 100 percent of maintenance in house (Interview with North Carolina Ferry Division, January 14, 2010). The state completed a new state-of-the-art maintenance facility at Manns Harbor that can handle the necessary capac- ity needed for vessels in dry dock. The centralized maintenance facility also enables the Ferry Division to effectively manage maintenance tasks, such as parts inventory, for a fleet that is sep- arated across many miles. Staffing Levels The ferry system has approximately 500 to 525 employees during the low season (November to April) and 575 to 600 employees during the high season (May through October) (Interview with North Carolina Ferry Division, January 14, 2010). Administrative staff is split between Manns Harbor, where the main maintenance facility is located, and Morehead City, where the previous State Ferry Operations department was located. Due to the great distance separating the various routes from the maintenance facility and head administrative office, there are three satellite maintenance facilities. These facilities are located at Cherry Branch, Cedar Island, and Hatteras. Vessel crew also report directly to their route loca- tions. Crews work seven-on/seven-off shifts, with two crews for each vessel. Coast Guard regu- lations require a minimum number of crew members on board at any one time, which has forced North Carolina to increase its crew staffing. Ferry Case Studies 43 Figure 5-9. Typical ferry vessel–North Carolina Department of Transportation Ferry Division.

As a majority of the ferry routes serve the Outer Banks, a well-known vacation destination, the cost of living for staff members is significantly higher than the cost of living in other parts of the state, especially the interior. The condition of the state’s resources and the Ferry Division’s budget have prevented salaries from keeping pace with the cost of living in the Outer Banks. This circumstance has made it difficult for the Ferry Division to attract the necessary workforce. In response, the Ferry Division has completed a staff dorm where staff and crew can live during the work week; a second dorm is under construction. Two dorms are already operational at Hatteras. Room and board is provided free of charge. The intent is to reduce the cost for staff traveling from home in the interior part of the state and also to entice prospective workers with a benefit. It has so far proven to be very popular with the staff (Interview with North Carolina Ferry Division, January 14, 2010). Financial Structure Fares As North Carolina considers its ferry system an extension of the state highway system, most of the ferry routes are provided free to passengers, with the exception of its longer routes and the Southport–Fort Fisher route. Table 5-11 shows the fare breakdown by route. Reservations are offered only on the Cedar Island–Ocracoke and Swan Quarter–Ocracoke routes. All other routes are offered on a first-come/first-served basis. Motorists with reservations must claim their reservation at least 30 minutes prior to departure or it will be canceled. Funding Sources North Carolina receives its ferry funding through a combination of state revenues and federal funds or grant monies. The annual ferry budget is set through the state DOT, which portions out the state revenues accordingly. Federal grants and funds are applied for on a year-to-year basis, depending on the type of funding available. Most of the federal funds received are applied to cap- ital projects rather than operating needs. 44 Guidelines for Ferry Transportation Services Table 5-11. Ferry route fares. Route Fare Bayview–Aurora Free Currituck–Knotts Island Free Swan Quarter–Ocracoke Pedestrian–$1.00 Bicycle Rider–$3.00 Motorcycle–$10.00 Vehicle and/or other combination less than 20 ft–$15.00 Vehicle and/or other combination 20 to 40 ft–$30.00 Vehicle and/or other combination 40 to 65 ft–$45.00 Cedar Island–Ocracoke Pedestrian–$1.00 Bicycle Rider–$3.00 Motorcycle–$10.00 Vehicle and/or other combination less than 20 ft–$15.00 Vehicle and/or other combination 20 to 40 ft–$30.00 Vehicle and/or other combination 40 to 65 ft–$45.00 Hatteras–Ocracoke Free Cherry Branch–Minnesott Beach Free Southport–Fort Fisher Pedestrian–$1.00 Bicycle Rider–$2.00 Motorcycle–$3.00 Vehicle and/or other combination less than 20 ft–$5.00 Vehicle and/or other combination 20 to 40 ft–$10.00 Vehicle and/or other combination 40 to 65 ft–$15.00

There are only four tolls in the state of North Carolina, three of which are for ferry crossings. The state collects approximately $2 million annually in toll income (Interview with North Carolina Ferry Division, January 19, 2010). The operating budget for fiscal year 2009/2010 was $30 million, which comprises a mix of toll revenue, state transportation improvement funds, and supplemental federal funding grants. A typical federal grant size is $1.8 to $1.9 million, with a needs-matching grant from the state required. Implementing additional tolls on ferry routes has been politically infeasible in the past, with a high degree of opposition from both citizens and elected officials. The global economic down- turn has begun to change perceptions, as the annual ferry budget has continued to decrease— down 3 percent, 5 percent, and 7 percent over the past 3 years, respectively (Interview with North Carolina Ferry Division, January 19, 2010). The budget has decreased from $35 million in 2008/2009, to $30 million for 2009/2010, to a projected $27 million for 2010/2011. In the first 6 months of fiscal year 2009, the Ferry Division spent $17 million, over half of its annual budget, which contributed to service reductions to offset future budget shortfalls. The state indicated that to optimally run the system, an annual budget of approximately $38 to $48 million is necessary to maintain existing services and to continually improve the system (Interview with North Carolina Ferry Division, January 19, 2010). A study currently being conducted by North Carolina State University is examining how the ferry system can increase efficiency in a variety of ways. One option being looked at in the study is the effect on ridership and revenue of increasing tolls or implementing new tolls. A survey conducted as part of the study found that most people agree with the idea of paying a toll to help offset some of the budget reduction, although a proposed toll was not included as part of the study. Other forms of new tolling being studied include seasonal tolling or increased tolling prices. In 2008, the United States experienced rapidly rising fuel and gasoline prices during a short period of time. This affected not only the everyday layperson, but all industries with gasoline and fuel as primary operating expenses. Overall, the North Carolina DOT provides and pays for fuel for all of its departments, the Ferry Division included. The state spends $6 million annually on fuel, and the rapid rise in fuel prices in 2008 wiped out its “rainy day” fund for that year. The state indicates that there likely will be no change in operating procedure for purchasing and dis- tributing fuel among the different DOT departments, and individual departments will not be responsible for purchasing or budgeting for their own fuel. Planning Issues Environmental and Regulatory Issues The state of North Carolina complies with all state and federal environmental regulations, including the regulations of the Coast Guard and Homeland Security. Many of North Car- olina’s air quality regulations follow the California Air Resource Board Title 13 regulations for compliance. The Ferry Division is moving toward meeting the United States Environmental Protection Agency’s requirement for Tier 3 diesel engines after repowers. This is currently the extent to which the state is investigating new technologies and/or vessels. A new ferry is on order and is under construction at a ferry dock in Texas; its delivery is expected in 2011. A separate bid has recently been awarded for a second Sound Class ferry to be completed in 2012. Outside of regulation compliance, the state DOT and Ferry Division are engaged in environ- mental stewardship through an environmental policy, as well as programs such as the ferry- based water quality monitoring program. The environmental policy outlines the Ferry Division’s Ferry Case Studies 45

mission statement as well as goals for service and includes (North Carolina Department of Transportation, 2008): • Continuing [its] commitment to environmental stewardship and improvement, including a commitment to the prevention of pollution and the preservation of natural resources. The North Carolina DOT Ferry Division also strives to meet or exceed relevant environmental leg- islation, regulations, and other requirements. • Providing a framework for setting and reviewing objectives and targets via the development of relevant procedures. • Being cognizant of the ferry system’s impacts to land, air, and water resources and inhabitants of these resources. • Making this environmental policy available to the public, including those who work on behalf of the Ferry Division, on the web site. • Requiring Ferry Division employees whose work duties may significantly impact the environ- ment to review the Environmental Management System and become familiar with the ways that they can ensure environmental stewardship. The Ferry Division is also compliant with ISO: 14001, which is the international standard for environmental compliance. In addition to its environmental policy, the Ferry Division, in partnership with Duke Univer- sity and the University of North Carolina (UNC)–Chapel Hill, gather water quality data as part of a program called “FerryMon.” Ferries on the Neuse River/Pamlico Sound collect water on the ferries through a system located on board the vessels. The data are logged and downloaded by cell phone to computers at Duke and UNC–Chapel Hill. Through the gathering and logging of data, a database is being established that will help in monitoring water quality standards over time, as well as during natural events such as storms or hurricanes (Institute of Marine Sciences at UNC–Chapel Hill et al., n.d.). Land Use Issues Each ferry terminal in the North Carolina system consists mainly of a small terminal build- ing, a waiting area for vehicles and passengers, and a loading dock. Most terminals are located in areas where it made sense to establish a water crossing. Historically, there has been little effort to focus landside development immediately around the terminal areas. In some cases, the lack of development is encouraged, as the terminals are gateways or entry points to existing communi- ties such as on Ocracoke Island. Ferries are seen more as a form of transportation than a catalyst for landside development. In the past, ferry routes have given way to bridges, which tend to limit development along the shoreline. Most passengers using the ferries arrive by vehicle, as the ferries are just one link in an overall transportation trip. There is also little local transit coordination, as ferry routes often cross mul- tiple local jurisdictions and involve trips that are generally not conducive to transit. North Carolina experiences a dramatic high-season ridership during the summertime. The Outer Banks experiences both vehicular traffic and ferry traffic congestion as vacationers flock to the area. Given the capacity constraints of Highway 12, ferry users often experience one to two boat waits during the high season. While ridership had been falling over the past few years, the summers of 2009 and 2010 experienced a modest ridership increase during the high season. This increase was likely due to more vacationers staying in state or closer to home to save money dur- ing the economic downturn. Emergency Response The Outer Banks is vulnerable to large storms and hurricanes that can wipe out Highway 12, which is the major entrance and exit to the area. For some places along the Outer Banks, such as 46 Guidelines for Ferry Transportation Services

Ocracoke Island, the only access is via ferry. During an emergency, ferries from the Ferry Divi- sion are called to aid once the disaster warning has been released. Ocracoke Island has an onsite emergency coordinator and, as part of Hyde County, is part of an overall county emergency plan. During an emergency, the Ferry Division follows the protocols of Hyde County. U.S. Virgin Island Ferries Quickfacts Ferry Case Studies 47 Operator Service Category # of Routesa # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Transportation Services of St. John, Inc. Transit– Ferry Intercity 2 3 2,100,000 950,000 15–30 Varlack Ventures Transit– Ferry Intercity 2 3 aOnly franchised routes are considered in this case study. History The U.S. Virgin Islands are made up of three islands in the Caribbean Sea: Saint Thomas, Saint John, and Saint Croix. Charlotte Amalie, the territory’s capital, is located on Saint Thomas. The population of all three islands, according to a 2009 estimate (CIA Factbook, accessed March 20, 2010), is 109,825. Much of the population is split between Saint Thomas and Saint Croix, with Saint John functioning mostly as a tourist and resort destination. This is reflected in the distri- bution of government services, which are located mainly in Saint Croix and Saint Thomas. As a territory, the U.S. Virgin Islands system of government is similar to that of a state, with three branches of government: the Executive Branch, the Legislative Branch, and the Judicial Branch. The U.S. Virgin Islands are governed by the laws of the United States Constitution, as well as the Revised Organic Act of 1954 that further defined the laws and rights for citizens in the U.S. Virgin Islands (United States Virgin Islands, accessed March 21, 2010). Currently, the U.S. Virgin Islands have a proposed constitution that is before the United States Congress for review. Saint Croix, which is 83 square miles, is the largest of the three islands. Saint Croix is also the furthest distance from Saint Thomas and Saint John—40 miles south of Saint Thomas. Saint Thomas is the next largest island in the territory at 31 square miles. It is the closest island to Puerto Rico, another U.S. territory. Saint Thomas and Saint John are only separated by 4 miles (3.5 nautical miles). Saint John is the smallest of the three islands at 20 square miles. It is also the only island without an airport and is completely reliant on ferries for inter-island travel. Water travel is a necessity for residents of the islands of Saint Thomas, Saint John, and Saint Croix, and thus the U.S. Virgin Islands require a robust ferry service. Ferry service has tradition- ally been offered by small, private operators who met demand for travel between the main islands of Saint Thomas and Saint John, where most of the government services are located. In 1972, the government created a franchise agreement with two private ferry operators to maintain passenger- based ferry service between Saint Thomas and Saint John (Interview with Transportation Services, January 29, 2010). The franchise agreement gave the ferry operators the right to operate on approved routes between the two islands and regulated ferry fares through the public services commission. Only the two contracted ferry operators were given the right to provide ferry service between the two islands. The two ferries provide non-competition-based services dictated by the franchise. Other for-profit ferry services exist for vehicle transportation although services are not as frequent as the franchised service (United States Virgin Islands, accessed March 21, 2010).

Organizational Structure Under U.S. Virgin Islands Code Title 25, Chapter 3, regularly scheduled ferry service between Saint Thomas and Saint John shall be maintained in accordance with regulations by the Gover- nor (Virgin Islands Code, Title 25, Chapter 3). For the purpose of maintaining transportation facilities and services between the Islands of Saint Thomas and Saint John, the Governor shall contract for, purchase, or otherwise acquire all such equipment, labor, services, and facilities as are necessary or appropriate. Title 25 is the precursor to enacting the ferry franchise agreement. In 1986, the U.S. Virgin Islands enacted a franchise agreement to operate ferry services between Saint Thomas and Saint John, as well as bus services on Saint Thomas. The franchise agreement is part of Act No. 5168 of the 1986 Regular and Special Legislative Sessions. The fran- chise agreement exclusively gave the right to Transportation Services of St. John, Inc., and Var- lack Ventures to operate marine services between the two islands (Virgin Island Session Laws, Act No. 5186, 1986). The franchise agreement requires maintaining existing service levels from 1986 for the length of the 10-year franchise. The two franchises are on a temporary extension and as a result are still operating under their 1986 franchise agreements. As part of the franchise agreement, the two operators are considered as a public utility, to be regulated by the Public Ser- vices Commission. Ferry services between Saint Thomas and Saint John currently continue to operate under the franchise agreement established in 1986 by the same private ferry operators. Both operators pro- vide duplicate routes between the two islands, with demand split evenly between the two oper- ators. Because the franchise agreement eliminates competition between the two operators and fares are regulated by the Public Services Commission, the two operators in essence operate as one unit, although the internal functioning of the two entities remains independent. U.S. Virgin Islands Code Title 25, Chapter 3 mandated that vessels in service under the fran- chise agreement be under the auspices of the Governor. Since the franchise agreement was insti- tuted in 1986, the two contracted operators have continued to operate their own private vessels in service. Both operators own and operate similarly sized vessels, one vessel for each route plus one space boat, for a total of three boats for each operator. The two boats in daily service are approximately 300-passenger vessels. Operational Structure System/Service Routes The franchise agreement mandates ferry service between Saint Thomas and Saint John. Pills- bury Sound, which separates Saint Thomas from Saint John, is considered part of the federal high- way system; this classification of Pillsbury Sound is the basis of the franchise agreement and the government’s sponsorship of the route. By contrast, the crossing between Saint Thomas and Saint Croix is not considered part of the federal highway system, thus there is no franchise mandate. The two franchise operators provide identical service with identical service schedules and very similar fare structures. Passengers can board either ferry for passage between the two islands. The two terminals on Saint Thomas are located in the most populated areas on the island—the capital, Charlotte Amalie, and Red Hook on the eastern side of the island. Cruz Bay on Saint John is the main entry point to the island. As 75 percent of Saint John is part of the National Park Service, only one terminal is necessary. Table 5-12 outlines the ferry routes. Figure 5-10 shows a route map. Red Hook has more frequent service compared to ferries departing from Charlotte Amalie. This is due to the shorter travel time between Red Hook and Cruz Bay (approximately half the duration of one-way travel on the Charlotte Amalie–Cruz Bay route) and the fact that most of the local population lives closer to the Red Hook terminal. The Charlotte Amalie terminal pro- 48 Guidelines for Ferry Transportation Services

vides easy ferry access to tourists heading to Saint John, especially tourists who have arrived to the island via cruise boats. Both operators of ferry service between Saint Thomas and Saint John provide identical service with almost identical service headways. While ferry operation is non-competitive due to the fran- chise agreement, it is important to note the similar service schedules and ridership demand that allow for both entities to provide similar services. Ridership is generally split evenly between the two franchised operators, since fares and schedules are held constant. Together, the two opera- tors transport approximately 2 million passengers a year between Saint Thomas and Saint John (Interview with Transportation Services, January 29, 2010). Ridership experiences some seasonal peaks, notably during Carnival, when daily passenger loads spike to 10,000 to 15,000 passengers. Ferry Case Studies 49 Table 5-12. Ferry routes between Saint Thomas and Saint John. Route Service Schedule Service Frequency Trip Time Red Hook, Saint Thomas–Cruz Bay, Saint John 6:30 a.m. to 7:30 a.m., 8 a.m. to 12:00 a.m. 60 min 15 to 20 min Charlotte Amalie, Saint Thomas–Cruz Bay, Saint John 7:15 a.m., 9:15 a.m., 11:15 a.m., 1:15 p.m., 2:15 p.m., 3:45 p.m. (leaving Cruz Bay), 9:00 a.m., 11:00 a.m., 1:00 p.m., 3:00 p.m., 4:00 p.m., 5:30 p.m. (leaving Charlotte Amalie) 2 h 40 to 45 min Figure 5-10. U.S. Virgin Island ferry service routes.

Otherwise, daily ridership is generally constant throughout the year, as local residents depend heavily on the ferry service to travel to work and school and make daily foodstuff purchases. The U.S. Virgin Islands are a year-round tourist destination, so tourist patronage does not make up a large proportion of seasonal ridership. (Interview with Transportation Services, January 29, 2010). Ferry service between Saint Croix and Saint Thomas is not mandated by the government, and the route between the two islands is not a popular one. Unlike Saint John, Saint Croix is largely self-sustaining, with jobs and housing located on the island. In addition, the journey between Saint Croix and Saint Thomas by water is very uncomfortable because of rough water, and peo- ple prefer to travel by air. In this instance, inter-island air travel is more attractive than water travel. Travelers travel by seaplane for inter-island travel. Facility and Vessel Maintenance Both franchise operators own and operate their own vessels for the Saint Thomas–Saint John route. Until now, the island government has been unable to secure federal capital financing to purchase government-owned vessels for use on the route. The island government is currently working with the federal government to secure a $5-million capital funding grant that would be used to purchase two new ferry vessels, one for each franchise operator (Interview with Trans- portation Services, January 29, 2010). Both operators generally operate three vessels on the two routes. Because the Red Hook to Cruz Bay route has the more frequent service, there are two vessels in operation. There is one vessel on the Charlotte Amalie to Cruz Bay route. Both operators use similarly sized vessels, rang- ing from boats that can carry 149 passengers to boats that can carry more than 300 passengers. One operator uses a 149-passenger boat for the Charlotte Amalie run to Cruz Bay and two pas- senger boats that can each carry 280+ passengers for the Red Hook run. Daily vessel maintenance is conducted by each operator’s own maintenance staff. One fran- chise operator has four mechanics on staff to conduct daily checks on the vessels. The vessels are put in dry dock twice a year—one time for Coast Guard inspection and the second time for removal of barnacles from the bottom of the boat because they can affect vessel operation. Vessel replacement of boats on the franchise routes has been performed by the operators with their own resources and in accordance with individual requirements. The U.S. Virgin Islands received federal funding for new vessels in 2011 and expects to receive these vessels in the next several years. It is hoped that the new vessels on order with monies from the federal grant will arrive sometime in fall 2010. Staffing Levels Staff comprises crew members, mechanics, and administrative personnel. Both operators have a staff of 45 to 50 people. The staff comprises 4 or 5 mechanics and 25 crew members; the remain- der is administrative staff. Both ferry operators are family-owned enterprises. Financial Structure Fares Regular adult fares run between $7 and $11 per one-way trip, as shown in Table 5-13. Dis- counted trips are available for students, seniors, and government workers. The island govern- ment purchases tickets in bulk at a reduced price to distribute to its workforce. In contrast to the usual one-month ticket book, government-purchased bulk tickets are good for 90 days. Tickets can be purchased in advance (mail or online) or at the ferry terminal. A recent upgrade to the ticket collection system discontinued the practice of having an onboard ticket collector; 50 Guidelines for Ferry Transportation Services

now an outside ticket company distributes tickets and collects fares for both operators jointly. The U.S. Virgin Islands Port Authority is currently testing a turnstile pilot program where pas- sengers can use swipe cards for entry. This program will hopefully be spread to all the terminals once the testing phase is complete. Fares are set and approved by the Public Services Commission, which oversees all utilities on the islands. The franchise agreement creating the government-sponsored ferry routes deliber- ately states that fare increases or decreases must be approved by the Public Services Commission because ferry service is considered as a utility on the islands (Virgin Island Session Laws, Act No. 5186, 1986). Funding Sources Because the ferry is an integral part of residents’ daily travel, any increase in fares is met with intense public resistance. The private operators have been unable in the past few years to work out an agreement with the Public Services Commission to raise fares. This dispute has caused the operators to threaten to go to the court, as they allege that they are continually losing money (Interview with Transportation Services, January 29, 2010). Another source of discontent between the franchise operators and the government is the cur- rent use of private vessels when the government is mandated to use publicly purchased vessels on the Saint Thomas–Saint John ferry routes. Federal funding is the main source of capital proj- ects, and federal funding of over $5 million is scheduled to be granted for new ferry boats (Inter- view with Transportation Services, January 29, 2010). Planning Issues Environmental and Regulatory Issues The U.S. Virgin Islands follow current federal standards and regulations. The territory does not have its own set of environmental compliance regulations. The increase in the cost of fuel that began in 2008 has forced the ferry operators to begin to investigate new technologies to reduce fuel consumption. At least one operator has started to welcome overtures from companies selling new technologies, such as fuel additive, that are pur- ported to reduce the amount of fuel burned by the engines. Fuel can be purchased from only a few purveyors on the island and because the operators lack space to store large amounts of fuel, they pay for fuel at prices listed on the day that the vessels fill up (Interview with Transportation Services, January 29, 2010). Land Use Issues On Saint Thomas and Saint John, ferry terminals are located in well-established areas. Charlotte Amalie is the island’s government seat, while Red Hook and Cruz Bay are points of local devel- opment and commerce. The majority of the ferry service between the two islands is passenger day travel, with residents using ferries as a commute mode. Ferry Case Studies 51 Table 5-13. Fare structure. Route Fare Franchise #1 Franchise #2 Red Hook, Saint Thomas– Cruz Bay, Saint John $7.00 adult one way, $2.00 child fare, $2.00 senior rate, $3.00 luggage charge $6.00 one way Charlotte Amalie, Saint Thomas–Cruz Bay, Saint John $11.00 one way, $3.00 luggage charge $12.00 one way

Emergency Response The U.S. Virgin Islands experience the threat of hurricanes every season. Emergency evacua- tion plans are in place for each island should a natural disaster occur. In an emergency, there is the possibility that vessels from Saint Thomas would have to assist in evacuating Saint Croix and in doing so navigate the rough waters between the two islands. For this reason, the ferry opera- tors in the U.S. Virgin Islands use monohull vessels. Washington Island Ferry Line (Wisconsin) Quickfacts 52 Guidelines for Ferry Transportation Services Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Washington Island Ferry Line Highway– Ferry Essential 1 5 200,000 n/a 7–40 History Washington Island is an island located 6 miles (5.2 nautical miles) from the tip of Door County, Wisconsin. It is a popular vacation destination as well as a year-round residence for approximately 700 people. Ferry service is an integral part of island life—many of the island’s daily goods arrive by boat. Supplies such as foodstuffs and heating products ensure that residents can live on the island year-round. Washington Island Ferry Line (WIFL) began service in 1940, when Arni and Carl Richter purchased two wooden ferries from an existing service that was run by Captain William Jepson and that had been in operation for 6 years. Upon acquiring United States Postal Ser- vice (USPS) contracts to deliver freight mail, what was once seasonal service transitioned to daily service to the island. Today, WIFL continues as a private ferry operation (Purinton, accessed April 1, 2010). As a family-owned and -operated business, the ferry service continues to provide a public ser- vice for both residents and visitors to the island. In addition, ferries shuttle commerce and goods between the mainland and the island. Although the ferry service is a wholly owned private entity, there are some aspects of operation that fall under government regulation and oversight. This regulation and oversight is provided mainly by the United States Coast Guard, as well as several state offices that oversee marine-based functions. Organizational Structure As a private operation, WIFL has the flexibility to modify and adjust to changing conditions, both environmental and social. The company owns all of its vessels, as well as the ramps, piers, and terminal facilities. Operational Structure System/Service Routes WIFL operates only one route between the mainland and Washington Island (see Figure 5-11 for route map). Approximately 200,000 people ride the ferry every year. The service operates 26 or 27 round trips a day during the summer, with service reduced to twice a day during the winter season due to severe weather and ice conditions. The summer months provide 75 to

80 percent of the year’s business. Summer travelers are mainly tourists, in-state visitors, and day-trippers (Interview with Washington Island Ferry Line, February 4, 2010). Few commuters use the service daily, since the dock is located far from the nearest town on the mainland and schedules are not set to accommodate a typical commuter schedule. Friday and weekend trips tend to have more passengers than a typical weekday because of seasonal property owners and vacationers heading to the island for the weekend. WIFL runs special trips on Friday, Saturday, and Sunday nights to satisfy the demand from weekend travelers (See Table 5-14 for service schedule). Travel time on the ferry route varies by the season. During the non-winter months, the cross- ing takes approximately 30 minutes. During the winter months, the crossing time can extend to 40 to 45 minutes. Severe weather such as icy conditions can extend a one-way trip to 4 hours. In this situation, an icebreaker is required to clear a path through the ice, either with the operation’s ferries that can break ice or with the assistance of the Coast Guard (Interview with Washington Island Ferry Line, February 4, 2010). Ferry Case Studies 53 Figure 5-11. Washington Island ferry route.

Facility and Vessel Maintenance WIFL operates a fleet of four RO-RO vessels. At full capacity, the vessels can carry 149 passen- gers, 18 to 21 vehicles, or 2 fully loaded semi trucks. In age, the vessels range from 7 to 40 years old. Two boats were recently sold due to age (Interview with Washington Island Ferry Line, February 4, 2010). Vessels are replaced based on a number of factors, including capacity demand, usefulness in the fleet, cost of modification, and payback period. As a private operator, WIFL undergoes a rigorous cost-benefit exercise to determine the short- and long-term implications of new vessel purchases, including changing technologies and new potential governmental regulation requirements. The spike in fuel costs in 2008 forced WIFL to find ways to limit the financial impact of the cost increases. WIFL began implementing new fueling strategies, purchased new fueling equip- ment, changed fueling vendors, and created a reserve fund. In addition, WIFL sought to lock in fuel prices by buying a bulk of 2009’s fuel in advance instead of at market rates. WIFL crew were also required to undergo spill containment training in the event of fuel leaks and reduced the amount of time spent idling. WIFL owns two docking facilities and leases two others. Wisconsin State Department of Transportation (WDOT) grants assisted in the construction of a mainland breakwall. WIFL con- ducts all of its daily maintenance needs in an onsite maintenance facility, although it does not have dry dock capability. Dry docking occurs at a facility 40 miles away. Staffing Levels WIFL is run with a staff of 12 to 14 people in the off season, with staff size expanding to 30 to 32 during the summer months. WIFL has not had difficulty recruiting crews and staff; it has more often been the case that more people are looking for marine-based work in the area than there is capacity to hire. In addition, 100 percent of the operation is island based—meaning that workers start and end their day on the island. Financial Structure Fares The fares charged by WIFL are shown in Table 5-15. Tickets can be purchased at the office and ticket booth. Tickets cannot be purchased in advance on WIFL’s web site. Discounted ticket 54 Guidelines for Ferry Transportation Services Table 5-14. Washington Island Ferry Line service frequency by season. Season Frequency–To Island Frequency–From Island Spring April 1, 2010–May 7, 2010 Hourly Hourly May 8, 2010–July 1, 2010 Hourly Hourly Summer July 2, 2010–August 15, 2010 30 to 45 min 30 to 45 min Fall August 16, 2010–October 24, 2010 Hourly Hourly Early Winter/Winter October 25, 2010–December 5, 2010 Hourly Hourly December 6, 2010–January 2, 2011 4 sailings per day 4 sailings per day January 3, 2011–March 31, 2011 Two times weekly (do not sail on Wednesdays) Two times weekly (do not sail on Wednesdays) Night Trips Friday Night Trips 30 to 60 min 30 to 60 min Saturday/Sunday Trips Once nightly Once nightly

books are available for regular riders, who often have a “house” account. Island school children also ride the ferry for free. Tickets are collected during boarding by crew members. Despite the financial difficulties of recent times, WIFL did not raise its rates for the season of April 2010 to April 2011. They expect to be able to maintain rates at the same level during the year. Funding Sources As a private operator, WIFL receives no public funding for day-to-day operating costs. Door County applied for grant funding from WDOT for the construction of docks and breakwalls. Planning Issues Planning, whether short- or long-term, is critically important to the continued operations of WIFL. As a private operation, WIFL must strive continually to maintain a balance of costs and expenditures. Some short-term goals identified to maintain the balance of costs and expendi- tures include the following (Interview with Washington Island Ferry Line, February 4, 2010): • Acquire new fueling equipment/fuel truck to avoid a fuel surcharge. • Change fuel supply vendors. • Undergo spill containment training. • Create a reserve fund in case of emergencies or unexpected expenditures. • Look closely at engine manufacturers to understand optimum fuel burn rate. • Reduce idling time. • Make decisions on future engine purchases based on the ability to reduce consumption but keep horsepower. • Undergo engine repowers and resell old engines. • Purchase new engines before new EPA emission requirements take effect. Long-term goals include the following: • Improve “value added” experience for passengers. • Include more deck space for passengers to move around on new boats. • Provide more education for crew and staff, especially for information sharing. • Provide more service at a lower cost. • Balance capital costs against the benefits of operating savings and environmental compliance. • Provide shore transportation alternatives. Environmental and Regulatory Issues Keeping abreast of current environmental issues and regulations pertinent to the WIFL oper- ation is a constant effort for the staff. Certain aspects of environmental regulations, such as safety and security for vessels, which are mandated by the Coast Guard, are well known because of their relevance to day-to-day operations. Other regulations and possible future regulations related to environmental contaminants, such as air pollution, require more nuanced response because of the complex nature of environmental pollution. Ferry Case Studies 55 Table 5-15. Fare structure (round trip). Passenger Type Fare Adult $11.50 Child (6–11 years) $5.50 Automobile (passengers not included) $25.00 Motorcycle $15.00 Bicycle $4.00 Island resident children Free

The state of Wisconsin does not have an independent environmental regulatory system sep- arate from the federal government, so WIFL maintains standards that meet federal requirements. WIFL is a member of the Passenger Vessel Association (PVA), a national association repre- senting the interests of owners and operators of passenger vessels, which provides a variety of services to assist in making daily operations possible. The PVA provides operators with informa- tion on environmentally related transportation issues such as emissions and energy and updates on issues expected to be important in the near future. In addition, operators have experts at their disposal through the PVA if there are any questions regarding new requirements and regulations that have been passed or implemented. This was identified as very helpful by WIFL as they do not have the capability in house to keep abreast of and understand all of the new rules and man- dates that come down from the government, often from different departments. Over the past few years, the water level in Lake Michigan has fallen drastically, enough so that WIFL needed to build a new ramp at the mainland dock as well as make modifications to the ter- minal on Washington Island. This is a concern since the drop in water level is a recent occur- rence; Lake Michigan’s water level had been stable for the previous 20 to 25 years. It is not known if Lake Michigan will return to its previous water level. WIFL spent $400,000 to make improve- ments to the docks, which are owned or leased exclusively by WIFL. Unforseen expenses have a significant impact on financial stability and overall business health. Land Use Issues Due to the relatively rural location of WIFL’s mainland dock, it is not expected that there will be any landside development around the ferry terminal. As the island’s population is relatively stable at around 700 year-round residents, it is not expected that the island will experience a dra- matic increase in traffic. Regulatory Issues Despite being a private operation, WIFL falls under the oversight of several different state departments. The fares WIFL charges, while not needing approval by the state, must be submit- ted each year to the Wisconsin State Office of the Commissioner of Railroads, which oversees all tariffs in the state. WIFL falls under the Railroads Commission because of its role as a carrier of intrastate commerce. In addition to the tariff oversight, the Wisconsin Department of Natural Resources (WDNR) regulates all permits for dock construction and dredging. WIFL docks are required to have WDNR permits under the same rules as marinas. WIFL docks are recognized as commercial maritime facilities with a strong public interest. WDNR has repeatedly placed conditions on WIFL permits that would require unlimited public access and use. In the past, WIFL has gone to court to contest regulations required by the state as part of a permit applica- tion for dock maintenance construction; WIFL settled one case out of court and won one case. The Coast Guard plays a large role in the continued operation of WIFL. The Coast Guard must certify each ferry as well as oversee all aspects of safety while the boat is in operation. WIFL’s working relationship with the Coast Guard has evolved over the last 10 years, developing into a respectful partnership. It was noted that the Coast Guard has become more customer service- oriented and more open to feedback from the operators, which has allowed the partnership to occur. A pending issue for WIFL is the upcoming Tier 2 engine standards soon to take effect. WIFL has come up with some strategies to ensure that all boats will be in compliance by the time the rule takes effect. Two of these strategies are (1) streamlining the emission systems and boat life- cycles (moving toward greater energy efficiency by reducing heat, lights, generators, and standby power) and (2) planning to repower two ferries before the new tier takes effect (Interview with Washington Island Ferry Line, February 4, 2010). 56 Guidelines for Ferry Transportation Services

Emergency Response WIFL is part of Washington Island’s emergency evacuation plan. In addition to emergency evacuations, WIFL also provides service for everyday emergencies, such as transporting ambu- lances or necessary supplies. WIFL is on call 24 hours a day for this service and charges after- hour rates to those users. Seattle Metropolitan Area Ferry System Quickfacts Ferry Case Studies 57 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Washington State Ferries Highway– Ferry Essential 10 23 22,500,000 10.1 1–64 Port of Kingston Transit– Ferry Urban 1 2 n/a n/a 5–30 Kitsap Transit Transit– Ferry Urban 2a 3 500,000 n/a Historic Mosquito Fleet– Newly Acquired King County Water Taxi Transit– Ferry Urban 2b 2 300,000 n/a 20–25 aKitsap Transit is currently undergoing planning for a new ferry route bForecast since King County has been in operation less than 1 year History Before roads and railroads were prevalent, ferry boats were the main mode of transportation for people traveling along Puget Sound. From the 1850s to the 1930s, so many steamboats tra- versed Puget Sound waterways that locals nicknamed the Sound’s fleet of ferries “the Mosquito Fleet,” because the steamboats often resembled a “swarm of mosquitoes” (The Free Online Ency- clopedia of Washington State History, accessed April 22, 2010). The Mosquito Fleet was not a unified fleet under one or a few owners—the ferries were often independently owned. At one time, over 2,500 individual steamboats were part of the Mosquito Fleet (The Free Online Encyclopedia of Washington State History, accessed April 22, 2010). Seat- tle’s central location within Puget Sound transformed the area into a major maritime transporta- tion hub, and the Mosquito Fleet moved both human and animal cargo, mail, machinery, and all goods necessary to supply and build the settlements that lined the coast from Olympia to Alaska (including Seattle). The emerging dominance of private automobiles that could not be accommodated on the steamboats signified the end of the Mosquito Fleet era. The completion of the San Francisco Golden Gate Bridge released a fleet of diesel-electric automobile ferries from San Francisco Bay ferry service that would soon arrive in Puget Sound and replace the Mosquito Fleet. The last scheduled run occurred in 1939 (The Free Online Encyclopedia of Washington State History, accessed April 22, 2010). Through World War II, ferries servicing Puget Sound remained a private enterprise. Ferry ser- vice had been consolidated under one main operator, Black Ball Line, although the Washington State Utilities and Transportation Commission regulated fare prices and increases. Rising ten- sions between Black Ball Line, the state, and the public over continued fare increases, shutdowns,

and strikes led to the state developing a ferry system under the Washington State Toll Authority in 1948 (The Free Online Encyclopedia of Washington State History, accessed April 20, 2010). In 1949, after a protracted public and private battle between the state and Black Ball Line, an agreement was reached allowing the state to purchase a majority of the equipment and opera- tions of Puget Sound Navigation Company, the parent company of Black Ball Lines. On June 1, 1951, Washington state entered the ferry business with reflagged Black Ball ferries (The Free Online Encyclopedia of Washington State History, accessed April 20, 2010). Today Washington State Ferries (WSF) is the largest ferry system in the United States, serv- ing eight counties within Washington State and the Province of British Columbia in Canada. WSF owns 22 vessels, stops at 20 different ports of call, and carries approximately 23 million people and 10 million vehicles annually. New state legislation has moved WSF away from passenger-only ferry service, which has led a number of local jurisdictions to take over or start new passenger-only ferry routes in Puget Sound. Ferry service is continually evolving to best serve the people in Puget Sound. Organizational Structure For this case study, four ferry operators were interviewed. While this does not cover all of the ferry operators in the area, the sampling of operators interviewed represents a broad swath of services and populations served by ferries. The four operators—Washington State Ferries, King County, Kitsap Transit, and Port of Kingston—are discussed below. Washington State Ferries WSF is a part of the Washington State Department of Transportation, reports to the Gov- ernor’s Office, and is funded by the Washington State Legislature. Considered an extension of the Washington state highways, WSF operates with the goal of moving people and automo- biles across the state’s waterways. It is the second largest public ferry operation in North Amer- ica, transporting over 22.5 million passengers and 10 million vehicles a year (Interview with Washington State Ferries, November 2, 2009). WSF recently ceased operating all passenger- only ferry services following state legislative direction that WSF provide statewide transpor- tation services as opposed to passenger-only services, which are viewed by the state as local transit services. King County In 2007, the King County Council created the King County Ferry District (KCFD) to operate two passenger-only ferry routes out of downtown Seattle. The KCFD funds and oversees the operations of two existing water taxi services. The KCFD contracts with the King County Marine Division for operations. Kitsap Transit Kitsap Transit is Kitsap County’s transit agency, providing routes, bus services, vanpools, and paratransit services in addition to passenger-only ferry service. The ferry service is contracted out to a private operator that operates and maintains the ferry boats. Kitsap Transit retains man- agement of the service and oversees all financial and funding concerns. Port of Kingston The Port of Kingston was established by the state legislature in 1919 as one of the original Mos- quito Fleet landing sites. The Port of Kingston is a municipal corporation governed by three directly elected commissioners. Currently, the Port of Kingston provides marina and dock ser- vices to Kingston. 58 Guidelines for Ferry Transportation Services

Operational Structure System/Service Routes See Figure 5-12 for a map of ferry routes discussed in this case study. Washington State Ferries. WSF operates nine ferry routes across Puget Sound and an inter- national route to Sidney, British Columbia, in Canada. Ferry routes provide highway connec- tions in the place of bridges or, in some cases, provide ferry service to locations such as the San Juan Islands and Vashon Island that don’t have roadway access. Routes vary in nature from 15-minute, low-volume crossings such as Point Defiance–Tahlequah to the 3-hour Anacortes–Sidney, British Ferry Case Studies 59 Friday Harbor Lopez Shaw Orcas Anacortes Coupeville Port Townsend Kingston Bainbridge Island Bremerton Port Orchard Annapolis Southworth Seattle West Seattle Vashon Clinton Mukilteo Edmonds Fauntleroy Tahlequah Port Defiance Sidney Figure 5-12. Puget Sound ferry routes.

Columbia, route. The heaviest commuter routes are in the Central Puget Sound area: Seattle– Bainbridge Island, Edmonds–Kingston, and Mukilteo–Clinton. These routes comprise about 60 percent of WSF’s ridership. Table 5-16 shows WSF ferry route information. King County. King County runs two ferry routes under the water taxi branding. The two routes provide year-round commuter service from downtown Seattle to Vashon Island and West Seattle. In the summer, additional service is provided on the West Seattle route. The Vashon route, which was transitioned to King County in September 2009, is a commuter route operat- ing Monday through Friday with three runs in the morning and three in the evening. The West Seattle route, which transitioned to King County in-house operations in April 2010, runs 7 days a week during the summer, with service hours between 11 and 16 hours a day. 60 Guidelines for Ferry Transportation Services Table 5-16. Washington State ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Seattle– Bremerton Year-round Seattle: 6 a.m. to 12:50 a.m. Bremerton: 4:50 a.m. to 11:40 p.m. 60 min Puget Sound Seattle– Bainbridge Island a Year-round Seattle: 5:30 a.m. to 1:35 a.m. Bainbridge: 4:45 a.m. to 12:55 a.m. 35 min Puget Sound Edmonds– Kingston Year-round Edmonds: 5:45 a.m. to 1:00 a.m. Kingston: 5:05 a.m. to 12:20 a.m. 30 min Puget Sound Mukliteo/Clinton –South Whidbey Island Year-round Mukliteo: 5:05 a.m. to 2:00 a.m. Clinton: 4:40 a.m. to 1:30 a.m. 20 min Puget Sound Pt. Townsend– Coupeville Year-round Pt. Townsend: 6:30 a.m. to 8:30 p.m. Keystone : 7:15 a.m. to 9:15 p.m. 30 min Puget Sound Fauntleroy – Southworth/ Vashon a Year-round Fauntleroy: 4:25 a.m. to 2:10 a.m. Southworth: 4:30 a.m. to 1:30 a.m. Vashon: 4:05 a.m. to 1:20 a.m. Fauntleroy – Southworth: 40 min (30 min for direct route) Fauntleroy – Vashon: 20 min (45 min via Southworth) Puget Sound Southworth – Vashon a Year-round Southworth: 4:30 a.m. to 1:20 a.m. Vashon: 4:00–5:00 a.m. to 2:40 a.m. 10 min (50 min via Fauntleroy) Puget Sound Pt. Defiance– Tahlequah Year-round Pt. Defiance: 5:05 a.m. to 10:30 p.m. Tahlequah: 5:30 a.m. to 10:55 p.m. 15 min Puget Sound Anacortes–San Juan Islands– Sidney, BC Year-round Anacortes: 4:25 a.m. to 12:35 a.m.; one daily trip between Sidney/Anacortes Friday Harbor: 5:55 a.m. to 11:35 p.m.; one daily trip between Sidney/Anacortes San Juan Islands San Juan Islands a Route has a different weekday and weekend schedule. Only the weekday schedule is shown

The Vashon route has been operating at approximately 13,000 to 14,000 passengers a month. The West Seattle route monthly passenger totals vary dramatically between peak and non-peak seasons, with ridership during the summer of nearly 40,000 and considerably lower ridership during the commute-only winter season. The winter of 2010/2011 is the first winter that the West Seattle service provided service on weekdays and during commute periods only. King County does not own any park-and-ride locations. There is no parking at the downtown Seattle site, which is leased from, and adjacent to, WSF (see photo of ferries at downtown Seattle terminal in Figure 5-13). In Vashon, the ferry terminal is collocated next to the WSF terminal, where scheduled Metro buses meet ferry arrivals. In West Seattle, there is limited street parking adjacent to the ferry terminal. The terminal is supported by a shuttle service, which offers a reduced transfer for ferry passengers. Table 5-17 provides information on the King County ferry routes. Kitsap Transit. Kitsap Transit contracts out for service the two ferry routes from Bremer- ton. The two routes are relatively short—the Annapolis–Bremerton route takes between 5 and 7 minutes, and the Port Orchard–Bremerton route takes 12 minutes. Overall, the system carries 500,000 annually, although ridership has seen a decline during the recent economic downturn Ferry Case Studies 61 Figure 5-13. Washington State Ferry–downtown Seattle terminal. Table 5-17. King County ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Vashon– Downtown Seattle Year-round Weekday: 6:10 a.m. to 6:30 p.m. 22 min Puget Sound West Seattle– Downtown Seattle Seasonal: April to October M–Th: 6:50 a.m. to 7:10 p.m.a F: 6:50 a.m. to 11:00 p.m. Sa: 8:30 a.m. to 11:00 p.m. Su: 8:30 a.m. to 7:00 p.m. 15 min Puget Sound/Elliot Bay aThe Friday extended schedule is operated on weekday home game nights for the Mariners or Sounders.

(Interview with Kitsap Transit, April 21, 2010). Kitsap Transit is also undergoing planning efforts for a Bremerton–Downtown Seattle route that is discussed in more depth later in this case study. Kitsap Transit has over 3,000 park-and-ride spaces sprinkled throughout its service territory that service the ferry terminals. Most park-and-ride lots are not near the ferry terminal, with the closest being approximately 1 to 2 miles away. Scheduled bus services feed passengers from the park-and-ride lots to the ferry terminals. The park-and-ride lots are a mix of free and paid lots, with some shared parking in downtown Bremerton and other lots located within easy access of major arterials. Most of the park-and-ride lots are free, although there are plans for some lots to become pay lots, especially those located closer to the ferry terminals. Table 5-18 summarizes information about the Kitsap Transit ferry routes. Port of Kingston. Similar to the Kitsap Transit route connecting Bremerton and downtown Seattle, the route from the Kingston to downtown Seattle by the Port of Kingston is a restart of a failed ferry route that previously had been operated by a private company. That route closed after 9 months due to a spike in fuel prices, inappropriately-sized boats for the ridership, and a lack of revenue to recoup operating losses (Interview with Port of Kingston, April 15, 2010). New service between Kingston and downtown Seattle began in late 2010 and is sponsored by the Port of Kingston. The service operates during the commute period, Monday through Friday, commuter service, with one trip in each peak direction. The Port of Kingston expected a starting ridership of 80 passengers a day, with ridership increas- ing to 120 to 130 passengers a day after a year in service (Interview with Port of Kingston, April 15, 2010). The new route to downtown Seattle offers a more direct commute and time savings for com- muters. Many commuters currently drive or take the bus to Bainbridge Island and then transfer to the WSF ferry to downtown Seattle. This commuting route can often take longer than 60 minutes. The new ferry route offers a 45-minute crossing time without the transfer penalty. The Port of Kingston does have dedicated parking for its marina services, which are managed separately from passengers parking for the ferry terminal. The operating plan relies on most pas- sengers using Kitsap Transit buses or kiss-and-ride drop-offs for access to the ferry terminal. The Port of Kingston expects most passengers to arrive for the ferry service via Kitsap Transit bus or drop-offs (Interview with Port of Kingston, April 15, 2010). Table 5-19 shows Port Kingston ferry route information. Facility and Vessel Maintenance Washington State Ferries. WSF has 23 ferries in its fleet: 21 automobile-passenger ferries and two passenger-only ferries. Due to WSF’s financial situation in the past decade, vessel replacement 62 Guidelines for Ferry Transportation Services Route Service Season Service Schedule Crossing Time Crossing Location Port Orchard– Bremerton Year-round Port Orchard: 4:30 a.m. to 8:30 p.m. Bremerton: 4:45 a.m. to 8:45 p.m. 12 min Sinclair Inlet Annapolis– Bremerton Year-round Annapolis: 6:00 a.m. to 5:47 p.m. Bremerton: 6:07 a.m. to 6:00 p.m. 5 min Sinclair Inlet Bremerton– Downtown Seattlea Year-round To be determined 30 min Puget Sound aRoute under development Table 5-18. Kitsap Transit ferry routes.

and new vessel procurement has been delayed in favor of maintaining existing boats in order to maintain level of service. Even with the retirement of four 80-year-old vessels in 2007, WSF has four vessels over 50 years old, with an additional five vessels that are 44 years old. Only three ves- sels are less than 25 years old. Currently, WSF has three, new, small, 64-automobile boats on order that can carry loads of 750 passengers. While these boats will supplement the fleet, it costs $55 to $115 million per boat to replace aging vessels with 64- to 144-car ferries (Interview with Wash- ington State Ferries, November 2, 2009). Not all boats are interchangeable within the system, as some routes are fairly short while the international route to Sidney, British Columbia, requires a boat designed for open water with safety-of-life-at-sea features. Other issues make interchangeability difficult, such as the uneven distribution of ridership on routes throughout the system and route distance and crossing times. WSF acknowledges the need for a few specialty vessels of small or large size but is seeking to increase the number of intermediate-sized 144-car vessels in order to improve interchangeabil- ity and vessel assignment flexibility. King County. King County is currently leasing two boats for its two water taxi routes. The leases are for two 77-foot catamarans that carry 150 passengers. King County does not have a designated maintenance facility for its leased vessels, and all daily maintenance is conducted at Pier 50, the passenger-only dock leased from WSF. Boats are also tied up overnight at Pier 50. King County is working to build a maintenance and moorage barge that can moor away from the passenger dock for overnight tie-downs and provide dedicated maintenance facilities (Inter- view with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit owns one boat, which is a historic boat that is the last remain- ing passenger vessel from the famed Mosquito Fleet. The historic boat operates on the Port Orchard run, with a carrying capacity of 149 passengers. Kitsap Harbor Tours provides another boat for the Annapolis run, which is being stretched to increase passenger capacity from 85 to 115. The new boat purchased for the run from Bremerton to downtown Seattle will have a capacity of 120 passengers (Interview with Kitsap Transit, April 21, 2010). The new boat, currently undergoing test runs, is a low-wake, partial hydrofoil that sits 18 inches above water and has a carbon fiber wing. The 120-passenger vessel cost $5.2 million and is designed to get through the narrow Rich Passage at 37 knots, to meet the designated 30-minute crossing time without causing shore damage or erosion (Interview with Kitsap Transit, April 21, 2010). The boat is constructed of composite and aluminum, reducing the boat’s weight, which results in minimum wake and wash and thus little impact on the shoreline. As part of its contract with Kitsap Transit, Kitsap Harbor Tours does all daily maintenance and cleaning on the boats for both ferry routes. Kitsap Transit pays for the twice-yearly haul- outs and Coast Guard inspections. Kitsap Transit anticipates continuing this practice for the new route as well. Fuel is purchased 3 days a week in bulk, although part of Kitsap Transit’s long-term plan is to build three fueling stations to provide for their own vehicles. Kitsap Transit would own the fueling stations and the distribution system, using small trucks to bring fuel to the terminal. Kitsap Transit is currently finishing an environmental impact statement (EIS) on storage tanks that can hold 12,000 gallons of fuel. By building a storage tank, Kitsap Transit can reduce its fuel Ferry Case Studies 63 Table 5-19. Port Kingston ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Kingston– Downtown Seattle Year-round To be determined 45 min Puget Sound

costs by 30 cents a gallon. The storage tanks would be built using American Recovery Investment Act funds (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston recently purchased two new vessels, the Spirit of Kingston and the Victoria Express. The Spirit is a 5-year-old, 65-foot catamaran with a 150-passenger load capacity. The Victoria is a 30-year-old boat that functions as the reserve for when the Spirit is out of commission. The Spirit cruises at about 25 knots to make the 45-minute crossing, burning approx- imately 80 to 85 gallons of fuel an hour. When the Victoria is in service, she burns 50 gallons of fuel an hour but at a slower speed (Interview with Port of Kingston, April 15, 2010). The Port of Kingston anticipates conducting all daily maintenance and haul-outs within its marina facilities (Interview with Port of Kingston, April 15, 2010). Included with the purchase of the new vessels are extended warranties on boat engines with the manufacturer. Haul-outs for repair and maintenance will likely occur at Port Townsend, and the Port expects to solicit bids for contract with a yard to complete the required haul-out work. System Infrastructure Washington State Ferries. WSF has 20 ports of call in its system. The sizes and types of terminals vary depending on the route and ridership. The downtown Seattle Colman Dock, Bremerton, Bainbridge, and Anacortes terminals have indoor passenger waiting facilities while other terminals have smaller or no covered waiting areas. Overhead passenger loading is used at six terminals; at all other terminals, foot passengers walk onto the vehicle deck, which increases the time it takes to load and offload the vessel. Other terminals, such as the Sidney, British Columbia, terminal, require special facilities for handling immigration and waiting areas. For a system that carries millions of vehicles every year, WSF’s terminal capacity is a major issue, especially during peak times. WSF has worked on updating and expanding its vehicle reser- vation system to reduce the waiting time for passengers with cars and eliminate waiting queues that extend beyond the holding areas at the terminals. WSF is looking into incentives and pro- grams that will encourage passengers to ride during off-peak periods. King County. King County is currently leasing the three terminals that service its two routes. The downtown Seattle terminal, Pier 50, is leased from WSF, as well as the Vashon terminal. King County recently built a new dock at the West Seattle terminal in Seacrest Park, which is owned by the City of Seattle. King County has a long-term use agreement with the City of Seattle to use the dock there (Interview with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit owns the floats in Bremerton and Port Orchard and recently spent $4.5 million in improvements at Bremerton to install a new ramp and improve the Amer- ican with Disabilities Act (ADA) accessibility at the passenger terminal. A new terminal in Port Orchard cost approximately $3 million with upgraded ADA ramps. Kitsap Transit has applied for federal funding to improve the ADA ramps at the terminal in Annapolis (Interview with Kitsap Transit, April 21, 2010). The proposed ferry from Bremerton to downtown Seattle would dock at Pier 50, which is owned by WSF. There is currently a two-sided float for passenger ferries; one side is being used by King County Water Taxi. Kitsap Transit is considering a longer-term arrangement at Pier 57, which is adjacent to the Seattle Aquarium and owned by the park district. The agreement to lease Pier 57 would be funded through parking improvements made at the pier (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Kingston terminal is located at the Port of Kingston. The passen- ger terminal is a semi-temporary space of several shipping containers welded together. There are windows installed for some natural lighting. The long-term plan for the Kingston termi- 64 Guidelines for Ferry Transportation Services

nal is to add in post and beams for a new waiting area with doors (Interview with Port of Kingston, April 15, 2010). The ferry would dock at Coleman Dock in downtown Seattle, shar- ing space with King County Water Taxi and Kitsap Transit’s proposed ferry from Bremerton to downtown Seattle. Staffing Levels Washington State Ferries. WSF employs more than 1,800 people in its agency, including crew members, maintenance staff, and administrative staff. A typical boat is crewed by a captain who is assisted by a chief mate, a quartermaster, and a bridge officer (Interview with Washing- ton State Ferries, November 2, 2009). King County. King County is currently operating at minimum crew levels; each boat has one captain and two deckhands. There is a small engineering staff of two engineers and two oil- ers. There are five administrative staff positions. As the operation has just launched, use is made of other King County Department of Transportation staff’s administrative time and expertise, but those staff members are paid for from the ferry budget (Interview with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit does not have a staff dedicated to the ferry service, although some staff members have dedicated workloads that affect ferry service. At Kitsap Transit, there is one staff member dedicated to watching budgets and overhead spending and that person is responsible for the One Regional Card for All (ORCA) program. The operations and daily main- tenance are handled through the contract with Kitsap Harbor Tours (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston will have a full-time crew of three to four people and a part-time crew of three to four people to handle fill-in needs and private chartering events. An engineer and deckhand will handle all daily maintenance on the boat. The Port of Kingston also anticipates hiring three to four people as administrative support staff, although these posi- tions have yet to be filled (Interview with Port of Kingston, April 15, 2010). Financial Structure Released on a limited basis in April 2009, the ORCA card is a contactless stored-value smart card used for payment of public transit fares in the Puget Sound region. Now fully launched within the region, the smart card system is the result of an agreement between seven public transit agencies— Sound Transit, King County Metro, Community Transit, Everett Transit, Pierce Transit, Kitsap Transit, and WSF. ORCA has eliminated intersystem paper fare transfer, although each individual agency still maintains a paper ticket system. While many public transit users are ORCA card users or are familiar with the system, implementing ORCA can be a major financial investment for smaller transit agencies joining the system (ORCA website, accessed April 26, 2010). Fares Washington State Ferries. WSF fares are divided into numerous categories, which are sum- marized in Table 5-20. There are differences in price for automobiles less than 20 feet long and less than 7.5 feet in height and automobiles less than 20 feet long and over 7.5 feet in height. Fares also increase per each additional 10 feet in automobile length. A peak season surcharge is applied to cover the costs of additional service and staff during the summer months, which is defined as May through October. WSF is planning the future rollout of an online registration system to manage demand, especially demand by passengers with vehicles during the peak season. The reservation system is seen as a mechanism to shift passenger demand and travel times to off-peak or slightly off-peak time periods Ferry Case Studies 65

since passengers know instantly if they can reserve a space on the boat. Instant information has also reduced somewhat the long queues that used to extend far beyond terminal waiting areas at some terminals. King County. The King County Water Taxi accepts cash (exact change) or the ORCA card for payment of fares. The King County Ferry District implemented the ORCA card system on its ferries. While the implementation cost is borne by the ferry district’s budget, it can use techni- cal assistance through King County Metro. Approximately 80 percent of the riders on the Vashon route use the ORCA card (Interview with King County Metro, April 14, 2010). By comparison, the West Seattle route handles many cash fares, with cash or tickets representing between 60 percent and 70 percent of the fares during the summer season. Fares are collected at the gangway, using a cash box for exact fare (no change is made) and portable ORCA card readers. Route fares are shown in Table 5-21. Kitsap Transit. Kitsap Transit is one of the original agencies to implement the ORCA card. The system has been installed in approximately 95 percent of the Kitsap Transit vehicles, includ- ing the ferries (Interview with Kitsap Transit, April 21, 2010). While most of the ORCA infrastruc- ture is in place, Kitsap Transit estimates that it will take approximately 20 years to earn back the 66 Guidelines for Ferry Transportation Services Table 5-20. WSF ferry route fares. Route Walk-on Automobile Bicycle Fare Peak Season Fare a Fare Peak Season Fare a Fare Peak Season Fare a Under 20 ft 20 ft to 80 ft Under 20 ft 20 ft to 80 ft Seattle– Bremerton $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Seattle– Bainbridge Island a $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Edmonds– Kingston $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Mukliteo/ Clinton–South Whidbey Island $2.05 to $4.10 $2.05 to $4.10 $5.95 to $7.00 $10.50 to $56.00 $7.70 to $8.75 $13.15 to $70.00 $1.00 $1.00 Pt. Townsend– Keystone $1.30 to $2.65 $1.30 to $2.65 $7.80 to $9.15 $13.75 to $73.20 n/a n/a $0.50 $0.50 Fauntleroy – Southworth/ Vashon a $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Southworth – Vashon a $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Pt. Defiance– Tahlequah $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Anacortes–San Juan Islands– Sidney, BC Fares vary from $6.70 to $17.50 for walk-on passengers and from $12.50 to $41.90 for standard automobiles, depending on trip length and destination. a Peak Season runs from May 1 through October 31. Table 5-21. King County ferry route fares. Route Cash Fare Transit Pass Senior Fare Youth Fare Vashon–Downtown Seattle $4.50 $3.75 $2.00 $2.75 West Seattle–Downtown Seattle $3.50 $3.00 $1.50 $2.25

capital cost of installing the system (Interview with Kitsap Transit, April 21, 2010). Despite the huge capital costs, Kitsap Transit believes that ORCA offers regional customer convenience and that Kitsap Transit’s integration into the regional transit system is a benefit to both customers and the agency. Route fares are shown in Table 5-22. Port of Kingston. The Port of Kingston is working to implement the ORCA system on its new ferry boats. Kitsap Transit is providing technical assistance to the Port of Kingston with installation of the ORCA system and advice regarding the purchase of infrastructure to imple- ment the system. Port of Kingston fares are shown in Table 5-23. Funding Sources Washington State Ferries. Funding for WSF comes through the state legislature. Histori- cally, WSF had dedicated tax funding through two sources: (1) the Motor Vehicle Excise Tax (MVET), which was the primary source of revenue, providing 20 percent of WSF’s operating funds and 75 percent of its capital funds, and (2) a portion of gas tax money (Interview with Washington State Ferries, November 2, 2009). In 2000, the MVET was eliminated by the Wash- ington State Legislature subsequent to a voter initiative in 1999. At this point, WSF lost its main source of dedicated tax revenue. In 2002, voters rejected Referendum 51, which would have provided $720 million for new fer- ries, terminals, and maintenance and service preservation. The state later approved two trans- portation packages that included $300 million for ferry vessel and terminal construction and $200 million over 16 years for ferry projects; however, the funding in these packages did not match the funding levels that Referendum 51 would have provided nor did it make up for the loss of the MVET. Washington state is provided with a dedicated $5 million annually from the Ferry Boat discretionary fund and also competes for other federal funds; however, the need is much greater (Washington State Transportation Commission, 2009). Since then, WSF has continued service through a combination of service reductions and fare hikes and deferred maintenance and vessel replacement. WSF’s capital program has been back- filled on a biennium basis from transfers from the highway side of WSDOT, which has to defer road projects that otherwise would have been built. The aging fleet and stepped-up hull inspec- tions resulted in deferred maintenance, leading to several unanticipated service interruptions. Rising fuel prices have raised the cost of operations and simultaneously depressed ridership and fare revenue. Although fuel costs have moderated in recent months, they remain a major point of uncertainty (Washington State Transportation Commission, 2009). A combination of rising fares, increased service disruptions, increased telecommuting, long- term elasticity of higher fares, and eliminated routes has led to decreasing ridership throughout Ferry Case Studies 67 Table 5-22. Kitsap Transit ferry route fares. Route Fare Port Orchard–Bremerton $2.00 regular/$1.00 reducedAnnapolis–Bremerton Table 5-23. Port of Kingston ferry route fares. Route Fare Port of Kingston–Downtown Seattle To be determined (estimates of $1.00–$15.00) Bicycles (estimate $3.00)

the WSF system. Between 1987 and 1999, WSF saw a 50-percent increase in ridership, from 18 million passengers to 27 million passengers annually (Washington State Transportation Commission, 2009). Ridership began dropping after 1999, first because of service cuts and then because of major fare increases—20 percent in 2001, 12.5 percent in 2002, and then an average of 5 to 6 percent from 2003–2006. Ridership had dropped about 10 percent by 2006, stabilized, and then dropped again in 2007 and 2008 due to service disruptions, high gasoline prices, and the economic downturn. By 2009, ridership had fallen from 27 million to around 22.5 million passengers annually (Interview with Washington State Ferries, November 2, 2009). Due to the severity of the funding crisis faced by WSF, the state legislature commissioned Long- Term Ferry Funding Study: Ferry Funding Recommendations Final Report (Washington State Transportation Commission, 2009) to evaluate strategies for meeting WSF’s long-term funding needs, as described in its Long-Range Plan, and to evaluate “state, regional, or local” funding options. The study’s findings and recommendations were released in September 2010. They include the following: • Finding: Long-term capital funding is the most critical need. • Finding: Ferry fares are not a viable source of capital funding. – Recommendation: Increase ferry fares and other operating revenues to close operating funding gap. • Finding: Challenges to local funding districts are substantial. – Recommendation: Use fare increases in lieu of local tax funding while leaving the option open for the future. • Finding: A statewide source is the most feasible means of meeting long-term capital needs of the WSF system. – Recommendation: Fund long-term capital needs with vehicle excise or similar tax. – Recommendation: Set state tax rate to allow elimination of administrative transfers. King County. In 2008, the King County Ferry District Board of Directors enacted a new property tax levy of five and a half cents on every $1,000 of assessed property value. The levy was intended to cover the operating and capital costs of the two existing ferry routes plus the addi- tion of demonstration routes outlined in the business plan created by the ferry district. As the effects of the recession hit during 2009, the Ferry District, whose board of directors is the nine members of the King County Council, reduced the levy to a level approximating one-third of one cent for every $1,000 in property tax and redirected the difference toward shoring up King County Metro’s budget (Interview with King County Metro, April 14, 2010). The reduction in the levy amount drastically changed the Ferry District’s outlook for implementing its business plan as originally developed, with the 2010 work plan limiting operations to only two routes. Currently, the Ferry District has three sources of revenue: the property tax levy, farebox recov- ery, and federal grants. The ferries do not currently have any concessions onboard, mainly due to short trip times that are not conducive to food and drink sales. The Ferry District is, however, looking into opportunities for concessions at the terminals or on the vessels. Kitsap Transit. Kitsap Transit provides a range of transit services throughout Kitsap County in addition to its passenger-only ferry service. The two existing routes between Port Orchard and Bremerton and Annapolis and Bremerton are operated and maintained by a privately contracted company, Kitsap Harbor Tours, LLC. Kitsap Transit owns one boat, and the private operator provides one boat for service. Due to the relatively short route distances for each of the ferry routes, operating costs are absorbed through the overall Kitsap Transit budget. Kitsap Harbor Tours runs the boats and provides daily maintenance for the boats and the ter- minals. Crew member wages are set within the contract, and all major maintenance haul-outs 68 Guidelines for Ferry Transportation Services

are conducted by Kitsap Transit. The contract has a 5-year term, with the option to add an addi- tional 5 years when Kitsap Harbor Tours sells Kitsap Transit its boat (Interview with Kitsap Tran- sit, April 21, 2010). Kitsap Transit is currently undergoing planning and environmental studies for a new ferry route between Bremerton and downtown Seattle. The new route was previously operated by WSF, but due to environmental concerns and civil litigation, the route was discontinued in 2003. Kitsap Transit will be restarting the route under their oversight and has secured $5.2 million in federal grants to build a new low-wake boat. While the federal grants cover the capital costs for ves- sel procurement, there is no guaranteed operating funding stream yet available. Kitsap Transit is awaiting the opportunity to bring a bond measure before voters that will likely be a large trans- portation package that includes Kitsap Transit’s funding needs. Kitsap Transit estimates that the new route will require an additional $5 to $6 million to operate. The agency does not anticipate a bond being put forth before the voters before 2012 (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston is newly entering the ferry transit business, having never before operated a ferry route service. The Port of Kingston received a $3.5 million FTA grant that stipulated use toward purchasing vessels for future ferry service. In a 2010 interview, The Port of Kingston reported that it was developing its operating budget prior to service com- mencing in October 2010. Prior to starting service in October 2010, the Port planned to charter out its two vessels for the summer of 2010, by which the Port expected to generate a revenue stream of $400,000 to $500,000 to help fund the 2010–2011 operating budget (Interview with Port of Kingston, April 15, 2010). The Port anticipated that most of its operating revenue would be generated through a number of different sources including private boat chartering, route revenue, and advertising revenue. From the federal grant, the Port of Kingston purchased the Spirit of Kingston for $2.5 million and the Victoria Express for $650,000 (Interview with Port of Kingston, April 15, 2010). The monies left over from the purchase of the two ferry vessels, as well as the revenue generated from private boat charters prior to scheduled ferry service, are being applied to future operating budgets. Planning Issues Environmental and Regulatory Issues Washington State Ferries. WSF has been investigating various ways of reducing energy and fuel consumption. It has experimented with biofuels as an alternative fuel source as well as a means to reduce air emissions. WSF has also installed energy-efficient engines and fuel injectors to reduce fuel consumption. Operationally, slowing vessels down and operating vessels on fewer engines where possible is another tactic for conserving fuel. King County. King County performed a high-level environmental assessment when it restarted the water taxi service from Vashon Island to downtown Seattle. The vessels that King County has leased for this service generally create a smaller wake and consume less fuel than the vessels previously used on the route (Interview with King County Metro, April 14, 2010). Some environmental analysis was required at the terminals, but since this service was already in place, the Ferry District does not have to contend with any new water-based issues. King County is currently exploring the use of biodiesel, but is unsure what the cost or oper- ating implications are. King County will continue to investigate the best way to incorporate biodiesel into its fueling program. King County has secured several federal grants for new vessel design and construction for the two routes being served. The new vessel will be able to take advantage of new technologies to Ferry Case Studies 69

reduce fuel consumption and emissions, thereby reducing the carbon footprint associated with this service. Kitsap Transit. Kitsap Transit used the opportunity for restarting the route from Bremer- ton to downtown Seattle to research what was the most appropriate vessel for the route. The research considered fueling options such as biodiesel, natural gas, hydrogen fuel cells, and ultra- low-sulfur fuel. Natural gas and hydrogen fuel cells were eliminated as options because the boat needed to go faster than these fuels would allow. The research also considered hovercraft, but these boats burn 120 gallons of fuel an hour, which was too costly for Kitsap Transit (Interview with Kitsap Transit, April 21, 2010). Ultimately, the research pointed to hydrofoils, which are more lightweight and have good fuel economy. During its research efforts, Kitsap Transit found that there were a number of institutional drawbacks for advancing new technologies. Because some technologies are not yet mature, they cannot be tested by operators, and sometimes regulators are uncomfortable with new technolo- gies (Interview with Kitsap Transit, April 21, 2010). Land Use Issues Land use development around the various ferry terminals in the Puget Sound area is incon- sistent and is dependent on the individual nature of each community. Ferry terminals are located in both very urban locations, such as downtown Seattle, and rural areas where dense develop- ment is unlikely to occur. In West Seattle, the area is fairly built-out, so there is less capacity for centralized dense development. Vashon has remained a semi-rural area despite having an estab- lished ferry service for years. In downtown Bremerton, Kitsap Transit has invested approxi- mately $50 million, with $40 million spent on a new ferry terminal and $10 million spent on a new administrative building. Condominiums and activity centers have also been developed. The recent economic downturn has slowed down development, although interest remains high in the area. Emergency Response All of the operators are part of the larger regional emergency response plan. Some of the indi- vidual agencies, such as Kitsap Transit, play a large role in the county’s emergency plan. The spare boat and a spare barge would be used to evacuate residents from Bainbridge Island and also to provide emergency connections. In the event of a collapsed bridge, Kitsap Transit would also pro- vide emergency connections between East Bremerton and West Bremerton. Each of the agencies reports a good working regional coordination relationship, which fosters open communication and information sharing among the different transit operators, both land- and water-based operators. This working relationship is evident in other regional collaborations, such as the ORCA card and in efforts to increase transit coordination between modes, especially ferries and buses. Most operators, aside from WSF, operate vessels with a capacity for 150 passengers or less. This is a deliberate decision by operators to avoid Department of Homeland Security regulations for operating vessels with a capacity for 150 or more passengers. For terminals, Coleman Dock is mandated to have a security plan in place, which also applies to King County and the Port of Kingston since they lease docking space there. In addition to security planning, WSF must comply with immigration regulations due to the international route to Sidney, British Columbia. All passengers who disembark in Sidney must carry appropriate documentation to go through customs. The ferry is mandated to wait until all passengers have cleared customs before returning to Anacortes. If a passenger fails to clear cus- toms, WSF must take the passenger back. The terminal in Sidney must also accommodate an 70 Guidelines for Ferry Transportation Services

additional waiting area for customs, making its passenger waiting space larger than passenger waiting areas in other WSF terminals. Hawaii Superferry Project Quickfacts Ferry Case Studies 71 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Hawaii Superferry Highway– Ferry Essential 1 1 Not operating Not operating n/a History Inter-island ferry service in Hawaii was not a new idea when the Hawaii Superferry was con- ceived in 2001. A study prepared in 1973, before introduction of the three SeaFlite hydrofoils in 1975, listed 22 studies completed between 1956 and 1970 that addressed the economics of and demand for an inter-island ferry (Department of Planning and Economic Development, State of Hawaii, 1973). The SeaFlite hydrofoils operated from 1975 to 1978, but eventually they were sold due to their unreliability and uncomfortable service during rough weather (Cataluna, December 23, 2005). The 1973 study identified secondary effects associated with inter-island service, including parking and roadway congestion in the vicinity of terminals, impacts to the inter-island cargo market, and social impacts from increased travel and tourism. The study concluded that a com- prehensive approach to ferry planning was needed, as were contingencies to address issues result- ing from changes to interstate travel, impacts to recreational facilities, and redistribution of pop- ulation and economic activity (Department of Planning and Economic Development, State of Hawaii, 1973). An issue that arose during SeaFlite operations, but was not cited in the 1973 study, was concern that the ferries could harm whales. No inter-island ferry service was operating in 2001 when the Hawaii Superferry concept was developed. High-speed ferry service from an Oahu hub with planned connections to the islands of Maui, Kauai, and the Big Island of Hawaii (the Big Island) was seen as a competitive alterna- tive to flying that would also allow vehicular movement between the islands. Organizational Structure Hawaii Superferry, Inc., registered as a corporation with the Hawaii Department of Com- merce and Consumer Affairs in September 2002. Discussion with U.S. DOT’s Maritime Admin- istration (MARAD) regarding loan guarantees for vessel financing also started in 2002. Publicity describing the proposed service first appeared in mid 2003. The business model for operations required capture of 7 percent of the inter-island market (1,500 passengers daily) in order to be profitable, with a target of 10 percent of the inter-island market (Natarajan, June 13, 2003). Operational Structure Hawaii Superferry, Inc., registered as a private Hawaiian corporation in 2002. In May 2009, Hawaii Superferry, Inc., declared bankruptcy. Its main assets, the two vessels, were taken into receivership by MARAD.

System/Service Routes Hawaii Superferry, Inc., planned service from an Oahu hub to the islands of Maui, Kauai, and the Big Island. Actual service included one trip to Kauai and a total of 11 months of operations to Maui (see Figure 5-14). A second vessel intended for service to the Big Island was launched in September 2008. However, delivery of the second vessel, targeted for March 2009, was postponed in 2008 due to the uncertain business climate (Pacific Business News, October 28, 2008). Service ended in March 2009, before the second vessel was delivered. The Hawaii Superferry system was designed to compete with, and provide an alternative to, the airline systems as a means of public transport among the Hawaiian Islands. The ferry system was also meant to provide a means for vehicular traffic among the islands and an alternative method for moving high-value freight. In addition, according to the draft environmental impact statement developed for the project by the Hawaii DOT (Department of Transportation, State of Hawaii, 2008), the system was expected to be beneficial to public health and safety by provid- ing superior marine transportation to help with disaster planning and emergencies. Facility and Vessel Maintenance The first ferry, the Alakai, was designed without an onboard vehicle loading ramp, a decision that triggered the need for loading barges for the Oahu, Maui, and Big Island harbors and a ramp on Kauai. It is unclear why the Alakai was built without a vehicle loading ramp, given that a stern load- ing ramp was included in the design of the second vessel, the Huakai, which was intended for ser- 72 Guidelines for Ferry Transportation Services Figure 5-14. Hawaii Superferry routes.

vice to the Big Island and despite the fact that similar ferries, including the Spirit of Ontario, which visited Hawaii in March 2004, had onboard vehicle loading ramps (Leidemann, March 6, 2004). The Hawaii DOT’s original position, as expressed by a spokesman in 2003 and outlined in a May 21, 2004, letter to Hawaii Superferry, Inc., was that the Hawaii DOT was not responsible for providing loading ramps and operational equipment for a private ferry service (Department of Transportation, State of Hawaii, 2008). The Hawaii DOT was concerned that providing loading equipment, which it had not provided for any other harbor users, would set a precedent, open- ing demands for similar equipment. After initial resistance, the Hawaii DOT agreed to build temporary, barge-supported loading ramps, at a cost of $38.5 million to the state. Hawaii Superferry, Inc., told the Hawaii DOT that MARAD, as a term of the loan guarantee, had imposed a June 30, 2005, deadline to settle all envi- ronmental issues (Auditor, State of Hawaii, December 2008). There is no evidence that MARAD had in fact set such a deadline. However, in order to meet the perceived deadline, the Hawaii DOT adopted the $38.5 million system of temporary loading structures in the belief that such a temporary system would be exempt from environmental review. The Hawaii DOT preferred per- manent structures, but under state law, permanent structures automatically require environ- mental review, a process that would not meet the June 30, 2005, deadline. The Hawaii DOT’s December 2005 finding that the temporary barges were exempt from environmental review would later be overturned by the Hawaii Supreme Court. The Hawaii Senate, in regular session in April 2005, rejected a bill to provide the Hawaii DOT with $40 million in funding for Superferry-specific harbor improvements. Instead, the monies were appropriated through general obligation bonds of $20 million for each of the fiscal years 2006 and 2007. The Harbor Division of the Hawaii DOT then awarded a $38.5 million contract for construc- tion of barges and ramps in China, which meant that, under the Jones Act provisions, if the barges and ramps were not needed, they could not be reused for shipping purposes in the United States. It is significant that the change in design for the second ferry to include a vehicle loading ramp rendered obsolete the $10 million (of $38.5 million) that the Hawaii DOT spent on infrastruc- ture for the Big Island’s Kawaihae Harbor. If both vessels had been built with onboard vehicle loading ramps, the cost of harbor improvements at the four harbors would have been much smaller, and the issue of environmental review triggered by use of state money for a private proj- ect would not have arisen. The vessels were constructed in Mobile, Alabama, at a cost of $95 million. Both the Alakai, used on the Maui service, and the Huakai, intended for Big Island service, have the capacity to carry 866 passengers and 282 compact cars (or 28 trucks and buses plus 65 cars) at 37 knots. The Alakai— 353 feet long by 78 foot beam (107.7 meters by 23.8 meters) with 12 foot (3.65 meter) draft—has no onboard loading ramp. The Huakai, at 369 feet long (113 meters), is 20 feet longer due to a stern quarter bi-fold vehicle loading ramp designed for a 42-metric-ton truck. (Austal, 2008) Staffing Levels Hawaii Superferry, Inc., had a staff of 308 (Segal, 2007). Founding President and CEO, John Garibaldi, was replaced by Thomas Fargo, who became president and CEO in April 2008. Financial Structure Fares A variable fare schedule with higher rates for summer season and weekend service was used. Promotional $39 one-way fares were also offered in spring 2008 in an attempt to increase rider- ship. Representative fares are provided in Table 5-24. Ferry Case Studies 73

Funding Sources Major funding sources for Hawaii Superferry, Inc., included a federally guaranteed loan of $140 million from ABN-AMRO Bank and $71 million in equity financing from J. F. Lehman & Co. (Associated Press, October 29, 2005). Norwest Equity Partners also provided private equity, so that, combined with the equity from J. F. Lehman, $237 million in debt and equity financing was available to Hawaii Superferry, Inc. (Reilly, December 2, 2005). Numerous Hawaii companies invested smaller amounts, including $1 million from Maui Land and Pineapple Company, Inc., and $0.5 million from Grove Farm Kauai (Segal, 2004). A list of Hawaii Superferry’s 30 largest creditors and equity security holders appeared in the May 30, 2009, bankruptcy filing. For the ferry service to break even, each vessel had to operate at 50-percent capacity (i.e., on average, carry 433 passengers and 142 cars). However, the service usually operated at well below 50-percent capacity. Ridership in spring 2008 was approximately 25 percent of capacity. Promo- tional fares were offered in the spring and fall of 2008. In July 2008, even though ridership had increased 40 percent over June’s ridership to average 390 passengers and 99 vehicles per day, it was still below the break-even point (Pacific Business News, August 4, 2004). The service report- edly carried a total of 250,000 passengers during its 11 months of operation. Planning Issues Environmental and Regulatory Issues The allocation of federal funds for private, project-specific activities such as vessel construc- tion and allocation of state funds for private, project-specific activities such as harbor improve- ments typically would trigger environmental review of the project. The Hawaii DOT’s opinion that use of federal and state funds for the Superferry service, a private project, did not require environmental review opened the door to legal challenges. In January 2005, Hawaii Superferry, Inc., signed a loan guarantee from MARAD for $139.7 mil- lion to support securing funds for Austal USA to construct two vessels. Condition X of the MARAD agreement contained preconditions requiring confirmation from Hawaii Superferry, Inc., that no environmental assessment (EA) of harbor improvements would be required before the agreement could be finalized 1 year later (Auditor, State of Hawaii, April 2008). MARAD was concerned that environmental issues could jeopardize port access. MARAD, as a federal agency, could have requested to be the federal lead for an environmen- tal review under the National Environmental Policy Act (NEPA). However, Condition X of the loan guarantee indicated that MARAD was prepared, in effect, to delegate its federal review authority to the state and accept that state environmental findings on harbor improvements alone were sufficient for the project. However, the state was taking the position that state fund- ing for harbor improvements was exempt from environmental review. Given MARAD’s delega- tion of its federal review authority to the state, the state’s position implied that MARAD accepted that review of the impacts of federal funding for the vessels, outside of harbor improvements, was unnecessary. 74 Guidelines for Ferry Transportation Services September to June July to August One-way Passenger One-way Car/SUV One-way Passenger One-way Car/SUV Oahu to Maui $42.00 (T–Th) $52.00 (F–M) $55.00 (T–Th) $65.00 (F–M) $52.00 (T–Th) $62.00 (F–M) $59.00 (T–Th) $69.00 (F–M) Table 5-24. Hawaii Superferry passenger fares.

A Sierra Club editorial in the Honolulu Advertiser in March 2005 summarized the issues fac- ing the Hawaii Superferry (Keith, 2005): • An Environmental Impact Statement (EIS) is required based on at least four criteria: – Use of federal funds ($140 million MARAD loan guarantee). – Use of state funds ($38.5 million for project specific harbor improvements). – Use of state lands. – Use of shoreline area. • Impacts to Kahului Harbor in Maui and traffic impacts near the harbor. • Transport of invasive species between islands by vehicles. These issues were the basis of a lawsuit filed in Maui in March 2005 by three private groups asserting that an EIS was required. The suit was rejected in August by the Maui Circuit Court, as was a second suit filed in September 2005. However, a third suit, focusing specifically on potential impacts to Kahului Harbor in Maui, filed by the three groups in Maui District Court in January 2006, was found to have merit. This case was heard by the Hawaii Supreme Court, which ruled in August 2007 that the state DOT was incorrect in not requiring an environmen- tal impact assessment for Kahului Harbor improvements, as the DOT did not consider second- ary impacts. The response of Hawaii Superferry, Inc., was to begin ferry operations from Oahu to Kauai and Maui with the Alakai a few days earlier than planned, before the courts could act, and offer a special $5 fare (approximately one-tenth of the planned $52 one-way passenger, $59 one-way vehicle fares). This tactic was not received well in Kauai, where protesters physically delayed the first ferry trip to Kauai and turned back the second trip the next day. Based on a decision by the United States Coast Guard that it would be unable to ensure passenger safety, service to Kauai did not resume. There were no equivalent protests in Maui. In response to the August 23, 2007, Hawaii Supreme Court ruling, the Maui Circuit Court issued an injunction that stopped the Hawaii Superferry service to Maui on September 14, 2007, and ordered preparation of an EIS, which the DOT then started. A government audit of the Hawaii Act 2 legislation and environmental review process for Hawaii Superferry was performed by the Hawaii State Auditor in 2008 (Leidemann, March 6, 2004; Auditor, State of Hawaii, April 2008). Key findings of the Phase I, April 2008 report were the following: • Faced with too little time and opposition from Hawaii Superferry, Inc., the state DOT aban- doned efforts to prepare an environmental review of harbor improvements needed to accom- modate the ferry service. • Flawed Hawaiian EIS laws and rules allowed the Hawaii DOT to invoke its own exemption list and ignore requests for environmental review. Key findings of the Phase II, December 2008 report were the following: • For Hawaii Superferry, Inc., the Hawaii DOT reversed long-standing policy of not providing pier-side equipment for harbor users. • Flawed or unclear Hawaiian EIS laws and rules allowed the Hawaii DOT to pay little attention to secondary or cumulative effects. • Based on a deadline imposed by Hawaii Superferry, Inc., Hawaii DOT implemented temporary harbor improvements consisting of barges and ramps that were not DOT’s preferred solution. • The state-funded $38.5 million of harbor improvements have been problematic, with the Maui barge and pier incurring more than $3 million in damages. • Fitting the second vessel with a loading ramp eliminated the need for a $10 million barge-and- ramp system built for the Big Island harbor and a $2.5 million ramp for the Kauai harbor. Ferry Case Studies 75

• If Hawaii Superferry retrofitted the Alakai with a loading ramp, the entire $38.5 million spent on harbor improvements for Hawaii Superferry would have been unnecessary. • Legislation on behalf of Hawaii Superferry, Inc., compromised the state’s environmental laws and put the interests of a single business before the state’s environmental, fiduciary, and pub- lic safety responsibilities. A range of potentially significant environmental issues associated with operations of the Hawaii Superferry were raised by various interested parties. Some of the issues were reflected in the DOT EIS (Pacific Business News, October 28, 2008); however, that document specifically focused on the state harbor improvements rather than on the entire service. The broader range of potential issues included the following: • Impacts to harbor cargo-handling capacity, particularly due to displacement of existing oper- ations by the loading barge-ramps. • Incremental (cumulative) impacts by ferry operations in addition to proposed cruise ship service. • Traffic impacts at the harbors during ferry loading and unloading and cumulative impacts if docking occurred during peak hours or at noon. • Impacts to existing recreational activities in harbors. • Collision-related impacts to protected species, including whales, dolphins, and sea turtles. • Vessel acoustics that could affect whales. • Transport of invasive species between islands, either on the wheels of recreational vehicles or through inter-island movement of produce. • Air quality impacts from vessel emissions. • Impacts to cultural traditions (sites and practices) in the harbor areas including the Pu’ukohola Heiau National Historic Park. The level of political support provided for the Superferry project was strong. In late October 2007, the Governor called a special 5-day legislative session specifically to address the Supreme Court’s decision requiring an EA of the Hawaii Superferry operations. During the session, the state senate and state house passed a bill to allow “large-capacity ferry vessels” to operate between ports in Hawaii while an EA (or EIS) was being prepared. On November 5, 2007, the Governor signed the bill into law under the name of Act 2, Second Special Session. Based on the new law, on November 14, 2007, the Maui Second Circuit Court lifted the injunction, allowing ferry oper- ations to restart. On December 13, 2007, Hawaii Superferry, Inc., resumed service to Maui after approximately 1 month of delays to make repairs to the loading barge in Kahului Harbor, Maui. A tug was brought in to assist in holding the loading barge in place during rough weather. However, main- tenance issues continued to impact service—cracks were found in the aluminum rudder and hull on the Alakai. The ferry went in for maintenance in February 2008 and remained out of service for almost 2 months. Service resumed in April. Questions regarding the scale of the service reemerged after service resumed. During the first week of service, the ferry carried 150 to 300 passengers and 40 to 100 vehicles each way (Segal, 2007). Ridership in the spring was approximately 25 percent of vessel capacity, well below the break-even point. Promotional $39 one-way passenger and $55 one-way vehicle fares were offered through June 2008. In July 2008, even though ridership increased 40 percent over June’s ridership to an average of 390 passengers and 99 vehicles per day, it was still below the 50-percent break-even point (Pacific Business News, August 4, 2004). In August, discounts to farmers and shippers were offered, and during September and October, promotional $49 one-way passenger fares were again offered (Pacific Business News, August 28, 2008; Pacific Business News, September 5, 2008). 76 Guidelines for Ferry Transportation Services

Meanwhile, in response to Act 2, project opponents in Maui had announced that a new legal challenge would be mounted. This challenge came in February 2008 when the three Maui groups (Sierra Club, Maui Tomorrow, and Kahului Harbor Coalition) presented a case to the Hawaii Supreme Court asserting that the special Act 2 legislation was created for a single private entity, Hawaii Superferry, Inc., and was therefore illegal. In December 2008, the Hawaii Supreme Court heard the legal challenge that the Act 2 law, which was allowing Hawaii Superferry, Inc., to oper- ate while DOT prepared an EIS, was unconstitutional. The lawsuit asserted that the legislature could only act through general laws (in order to avoid sweetheart deals for single entities) and that the state could not make an irrevocable grant of special privileges (Supreme Court of Hawaii, 2009; DePledge, 2008). The court did not indicate a schedule for a ruling. In January 2009, the draft EIS prepared by the DOT addressing direct, secondary, and cumu- lative impacts of harbor improvements was released (Department of Transportation, State of Hawaii, 2008). The report, validating the concerns of project opponents, found that the service would adversely impact cultural resources at the harbors, would result in significant impacts to road traffic in the vicinity of harbors and to natural resources, and would impact recreational activities in the harbors. On March 16, 2009, the Hawaii Supreme Court ruled that the special Act 2 legislation (passed in October 2007 to allow preparation of an EIS while ferry service continued) was unconstitu- tional, as asserted by the plaintiffs. Hawaii Superferry, Inc., stopped operations and made a final trip on March 19, 2009. With no cash flow, Hawaii Superferry, Inc., declared bankruptcy in May, and bankruptcy was granted in June 2009. As part of the bankruptcy settlement, MARAD took possession of both high-speed ferries. It is obvious from this case study that a high level of organized legal opposition to a transporta- tion project, including lawsuits during the planning process, cannot be considered a harbinger of future success. It is not unusual for suits to be filed that challenge the process or findings of a federal or state environmental assessment after it has been prepared. In such cases, if documen- tation is available showing that environmental law and processes have been followed, there is a reasonable chance of a challenge being rejected. Unfortunately, in the case of the Hawaii Super- ferry, not following required environmental review procedures opened the plan to legal chal- lenges that ultimately were upheld. Land Use Issues The system planning for the ferry service did not include public explanation of ridership demand or optimization of vessel size based on predicted demand. A decision was made not to go public with the plans until the feasibility was clear (Lynch, 2003). Continuing reticence to share planning decisions or to initiate environmental review, combined with announcements of federal funding for other harbor improvements, led to a public perception that the ferry service was a private deal developed behind closed doors to support expansion of military activity on the islands (Pacific Business News, January 13, 2004). Public concerns regarding environmental issues emerged quickly, particularly regarding traffic impacts at harbors and the potential for the large, high-speed ferries with a 12-foot draft to hit and kill whales. Hawaii Superferry’s decision to use large vessels (107.7 meters long) was reportedly based on the failure of jetfoils in the mid 1970s because they were perceived to be too small to provide com- fortable service during rough weather (DePledge, 2008). Hawaii Superferry, Inc., described a strat- egy to avoid whales in October 2003 (Pendleton, 2003). Skeptics questioned both the practicality of the proposed avoidance procedures and use of unproven whale-detection technology. The concern over whale strikes dominated public dialogue; environmental benefits that the ferry might have generated did not become part of the public debate, mainly because the normal Ferry Case Studies 77

process for introducing environmental issues into the public dialogue—environmental documentation—was sidestepped. As a result, fuel use per passenger, which can lead to large carbon savings over conventional air travel, did not enter the public discussion. Table 5-25 com- pares the per-passenger fuel consumption of the Austral 107 (the vessel used in the Hawaii Superferry service) to that of a Boeing 737 (the predominant interisland vehicle) and a some- what smaller Austral 72 ferry. Both ferries used about 30 percent less fuel per passenger than the Boeing 737, assuming similar occupancy factors. The decision of Hawaii Superferry, Inc., to start construction of vessels before full financing was in place created pressure to truncate the system planning and environmental review process in order to get the Superferry into service quickly so that it could generate income to meet sched- uled vessel payments. The financial situation of Hawaii Superferry, Inc., set the stage for later confrontation over environmental and transparency issues. The construction order removed the flexibility to accommodate planning delays resulting from public questions or reservations about the system. Very few transportation projects avoid some form of schedule delay. A clear lesson learned from this case study is that early commitment to private debt or equity financing for vessels (or facilities) before environmental documentation and permits are in place should be avoided. NEPA regulations specifically require an environmental review be concluded before “irreversible and irretrievable commitment of resources” to avoid this exact situation. Ide- ally, the environmental process can be used to bolster the business case—to develop realistic rid- ership estimates as well as operating and capital costs—leading to the project sponsors not just identifying impacts, but also providing financial backers with a unified, complete analysis of risks and rewards. Financial commitments place constraints on a project’s schedule and make delay an obvious tactic if there are opponents, independent of the merit of opposing concerns. British Columbia Ferry System Quickfacts 78 Guidelines for Ferry Transportation Services Table 5-25. Per passenger fuel consumption comparison. Vehicle Fuel Consumption (gal/hr) Passenger Capacity Half Capacity Travel Time (hr) Fuel Consumption per Passenger Full (gal/passenger) Fuel Consumption per Passenger half (gal/passenger) Austral 107 1,750 866 433 3.5 7.1 14.2 Austral 72 1,150 620 310 3.5 6.5 13.0 Boeing 737 (200-800) 1,500 150 75 1 10 20 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) British Columbia Ferry Services, Inc Highway– Ferry Essential 25 37 21.8 million 8.5 million 2–50 History British Columbia ferry services have operated for more than 150 years. Ferry service between Vancouver Island and the Vancouver area started in the mid 1800s and was initially operated by the Hudson’s Bay Company. By 1901, Canadian Pacific Railway had taken over ferry service

across the Strait of Georgia and continued transporting passengers and vehicles on the 5-hour journey between downtown Vancouver and downtown Victoria until the 1960s. In the 1950s, Black Ball Line, which also operated ferries in Puget Sound, began service between West Van- couver and Nanaimo, as well as routes to the Sunshine Coast and Jervis Inlet south of Powell River (“Before BC Ferries,” accessed July 1, 2010). In the late 1950s, the provincial government assumed management and operation of the ferry system, and, in June 1960, the new British Columbia Toll Authority Ferry System (BC Ferries) began operations with two vessels operating on the route between Swartz Bay (Victoria) and Tsawwassen (Vancouver). At Tsawwassen, a 2-mile-long causeway, artificial island, and ferry terminal were built. In the first year of operation, service was profitable and reliable. As a result, the ferry system expanded and started service to other small coastal communities. To keep up with demand, BC Ferries built more vessels, many of them in its first 5 years of operation. Initially, private competition continued in parallel to BC Ferries service, with Black Ball pro- viding service from Horseshoe Bay to Nanaimo and Horseshoe Bay to Langdale. The province bought out Black Ball in 1961, acquiring five of its vessels, and also acquired five small vessels of the Gulf Islands Ferry Company. Canadian Pacific continued to operate ferry service, but in 1962 reduced its services on the Vancouver–Nanaimo route, eventually downsizing to freight-only services. As passenger numbers continued to increase, BC Ferries increased capacity through the “stretch and lift” program. In 1970, four vessels were cut down the middle so that an 84-foot midsection could be “spliced” in. Five years later, vessels were hauled back into dry dock and sliced horizontally. The two halves were separated from each other, and a new upper car deck was slid into place. In 1985, BC Ferries assumed operations of the saltwater branch of British Columbia’s Min- istry of Transportation and Highways, which ran ferry services to very small coastal communi- ties. BC Ferries’ fleet and its geographical service area increased. In the mid 1990s, the provincial government decided to use BC Ferries to advance its goal of supporting British Columbia’s shipbuilding industry by building a “PacifiCat class” fleet of custom-designed, high-speed catamaran ferries for BC Ferries, with the eventual goal of exporting additional vessels on the international market. The three vessels were built by local shipyards from 1995 to 2000 under the supervision of a new provincial Crown corporation. They had a service speed of 37 knots (68 km/h). The PacifiCats were commissioned between 1998 and 2000. They were intended to improve BC Ferries service between Horseshoe Bay (on the mainland) and the Departure Bay (in Nanaimo). However, the program was afflicted with construction cost overruns, late deliv- ery, and operational and capacity shortcomings. The ships were operated briefly and then sold in 2003 to a private buyer, the Washington Marine Group (BC Ferries website, accessed July 1, 2010). The PacifiCat experience resulted in a write-down of a $400 million (CAD) investment in the PacifiCat ferries, and is often referred to as the “Fast Ferry Scandal.” The PacifiCat experience led to institutional changes at BC Ferries. Organizational Structure In April 2003, BC Ferries was transformed from a Crown (government) corporation into an independent, commercial organization subject to the British Columbia Business Corporations Ferry Case Studies 79

Act and is now officially British Columbia Ferry Services, Inc. (BC Ferries). The sole shareholder of BC Ferries is the B.C. Ferry Authority, which in turn is a no-share capital corporation created under the British Columbia Coastal Ferry Act. BC Ferries’ routes and service levels are defined in the Coastal Ferry Services Contract between the Province of British Columbia and BC Ferries. The contract, originally signed in 2003, is a binding 60-year agreement that is reviewed and updated at regular intervals (perfor- mance terms). The first renewal of the Coastal Ferry Services Contract was completed on June 30, 2007, for performance term two (April 1, 2008 to March 31, 2012). The intent of the change for Crown corporation to independent commercial organization was summarized by the Chair of the outgoing Crown corporation in its final annual report: As a Crown corporation, BC Ferries was very much dependent upon government for everything from rate-setting to vessel construction and spending priorities. Capital investments were approved within the short-term rotation of government fiscal priorities rather than adhering to a long-term business model that is required for a service of this magnitude. In addition, each decision was directly influenced by the politics of the day. This problem . . . seriously inhibited the Corporation’s ability to operate in a businesslike manner. With a major capital replacement program needed to upgrade or replace older vessels in the fleet and improve terminal infrastructure, a new model was required to access outside financing to make these necessary investments. . . . Every option was seriously considered: from retaining status quo for the taxpayer-supported Crown corporation model to outright privatization of the service. The option that was selected is the optimal solution. It is best described as a commercial model governed by an independent authority that meets the objective of creating a modern, safe and reliable ferry system that will provide improved service and greater customer choice while protecting British Columbia taxpayers from further financial risk and debt burden (Interview with Len Rouche, formerly of BC Ferries, April 2010). The BC Ferry Commission, an independent agency established under the Coastal Ferry Act, regulates BC Ferries fares and service levels. The Coastal Ferry Act directs the Commission to follow six principles in protecting the public interest. These principles serve to define what is meant by the public interest in the provision of coastal ferry services: • Priority is to be placed on the financial sustainability of the ferry operators; • Ferry operators are to be encouraged to adopt a commercial approach to ferry service delivery; • Ferry operators are to be encouraged to seek additional or alternative service providers on des- ignated ferry routes through fair and open competitive processes; • Ferry operators are to be encouraged to minimize expenses without adversely affecting their safe compliance with core ferry services; • Cross subsidization from major routes to other designated ferry routes is (i) to be eliminated within the first performance term of the first Coastal Ferry Services Contract to be entered into under this Act, and (ii) before its elimination, to be minimized; • Designated ferry routes are to move towards a greater reliance on a user pay system so as to reduce, over time, the service fee contributions by the government. Operational Structure System/Service Routes BC Ferries has the largest ferry fleet in North America (37 vessels) and carries slightly fewer passengers than Washington State Ferries (BC Ferries carries about 21.8 million passengers annually). Service operates daily, with more than 500 departures each day (see Figure 5-15 for a map of BC Ferries routes). 80 Guidelines for Ferry Transportation Services

The three most heavily patronized routes are Tsawwassen–Swartz Bay, Tsawwassen–Duke Point, and Horseshoe Bay–Departure Bay. These routes operate with no subsidy, including the cost of their capital. Service is daily. BC Ferries also operates three northern routes: Port Hardy–Prince Rupert, Port Hardy– Bella Bella/Shearwater/Bella Coola/Klemtu/Ocean Falls, and Prince Rupert–Skidegate (Queen Charlotte Islands). Service on the Inland Passage operates every other day. Service to the Queen Charlotte Islands operates 6 days per week, and service from Port Hardy to Bella Bella and Shearwater operates 3 days per week in the summer. These services are subsidized by the Province. The balance of BC Ferries’ routes is categorized as “other” with three subcategories: Northern Gulf Islands, Mainland/Vancouver Island/Sunshine Coast, and Southern Gulf Islands. The Northern Gulf Routes are • Buckley Bay–Denman Island • Denman Island–Hornby Island • Campbell River–Quadra Island • Quadra Island–Cortes Island Ferry Case Studies 81 Figure 5-15. BC Ferries route network.

• Port McNeill–Alert Bay–Sointula • Powell River–Comox • Powell River–Texada Island The Mainland/Vancouver Island/Sunshine Coast routes are • West Vancouver–Sunshine Coast (Horseshoe Bay–Langdale) • Sechelt Peninsula–Powell River (Earls Cove–Saltery Bay) • Bowen Island–Vancouver (Snug Cove–Horsehoe Bay) • Langdale–Gambier Island–Keats Island • Saanich Inlet Route • Brentwood Bay–Mill Bay The Southern Gulf Islands routes are • Bowen Island–Horseshoe Bay • Nanaimo Harbour–Gabriola Island • Chemainus–Thetis Island–Kuper Island • Salt Spring/Vesuvius–Crofton • Salt Spring/Fulford–Victoria • Mayne–Galiano Island (Sturdies Bay) • Mayne–Pender Island (Otter Bay) • Mayne–Saturna Island (Lyall Harbour) • Mayne–Tsawwassen • Mayne–Swartz Bay Note that some routes are double-counted as the vessels make several stops. Service on the other routes category generally operates daily throughout the year. Facility and Vessel Maintenance BC Ferries operates 37 vessels on 25 routes serving 47 terminals. All of the vessels are owned by BC Ferries, and the terminals are operated by the company under a long-term lease with the British Columbia Transportation Financing Authority. Nine of the smaller routes are operated under contract with alternative service providers. All ferries are RO-RO vessels. The vessels are a mix of large ferries (including three “Coastal” class, 160-meter vessels that carry 1,650 passengers and 370 vehicles and are the world’s largest double-end ferries) and small, 16-vehicle ferries operating on coastal inlets. The fleet ranges in age from small vessels that are more than 50 years old to the 2-year-old Coastal class vessels. In addition, the BC Ferries capital program includes regular upgrades and midlife rebuilds for the existing fleet. Over the last 5 years, BC Ferries has added seven new vessels and plans to purchase two, new, smaller vessels over the next 3 years. All vessels are designed for a 45-year life with major upgrades and overhauls at quarter, half, and three-quarter life periods. (See Figures 5-16 and 5-17 for photos of BC Ferries vessels.) The recently completed Coastal class project can be considered a best practice and stands in contrast to the PacifiCat experience of the mid 1990s. BC Ferries commissioned the PacifiCat project, which involved building three large fast catamarans to operate between Vancouver and Vancouver Island. BC Ferries intended for the new vessels to operate at higher speeds and thus provide the same number of trips with fewer vessels. The program was also intended to provide new jobs within British Columbia’s maritime industry. The PacifiCat project ran over budget and behind schedule, and the actual vessel speed increase was not great enough to reduce fleet requirements. The province eventually terminated the project and sold the three vessels at a large loss (Interview with BC Ferries, June 2010). 82 Guidelines for Ferry Transportation Services

Despite cancelling the PacifiCat project, BC Ferries still needed new vessels for the Vancouver– Vancouver Island service. The new management of BC Ferries opted for an inclusive stake- holder consultation process combined with a private-sector, design-build model, with impres- sive results. The vessels built as a result of this process are part of the Coastal class boats now in operation. In the stakeholder process, management was able to include a large number of industry user and operator ideas on ship design. BC operators were also consulted, and the project managers learned what worked well for the people who work on the ship. One commenter noted that “the cooks designed the galleys,” and as a result the new vessels have a high employee acceptance (Interview with BC Ferries, June 2010). Early in the process, management at BC Ferries decided to use the design-build approach, where broad specifications were given to bidders, but the designer and builder had the final Ferry Case Studies 83 Figure 5-16. BC Ferries with open automobile deck. Figure 5-17. BC Ferry operating in the Strait of Georgia.

responsibility to deliver the product as agreed. This approach resulted in a high degree of cer- tainty on product, price, and schedule. As a result, BC Ferries was solicited by world-class ship designers and builders and was able to access the global market for the best product and most efficient shipbuilder. Even with a 25-percent Canadian duty on foreign ships, the German- built Coastal class vessels still cost less than a comparable home-built vessel, and BC Ferries was able to use the savings to purchase an additional vessel (BC Ferries Fare Index, accessed June 2010). BC Ferries staff believes that accessing the most commercially viable options allows the com- pany to save money and pass on the savings to its passengers. Staffing Levels The ferry system has more than 2,800 full-time maritime workers, plus 1,700 casual (on-call) employees. All unionized employees are members of the BC Ferry & Marine Workers’ Union (BC Ferries website, accessed July 1, 2010). The company also has another 350 administrative employees. Many of BC Ferries’ ships are licensed by Transport Canada to operate at different crewing levels, depending on the number of passengers on board. Transport Canada sets the number of crew members required for a certain number of passengers mainly according to their estimate of how many crew members would be required for a prompt and efficient evacuation of the ship in case of an emergency. As an example, the vessel on the Comox–Powell River route can carry a maximum of 659 passengers, provided there are 25 crew members (“A” License). The maxi- mum load is reduced to 324 if there are only 18 crew members (“B” License) (BC Ferries web- site, accessed July 1, 2010). BC Ferries provides career and management development programs. Safety and security are major initiatives, and the company works to train crews for emergency situations from passen- ger security training to evacuation drills. Financial Structure Fares BC Ferries’ 25 routes have multiple fare tariffs (all dollar amounts given in the “Financial Structure” section are CAD). The three routes from Vancouver to Vancouver Island have the following tariff structure (BC Ferries Fare Index, accessed June 2010): • Pedestrian—$14 ($7 for children and passengers with disabilities) • Vehicle Tariffs (always in addition to the pedestrian fare) – Bicycle—$2 – Motorcycle—$23.40 – Vehicle and/or other combination less than 20 feet—$46.75 – Vehicle and/or other combination longer than 20 feet—$5.25 per foot additional – Buses—$3.75 per foot Other routes have similar tariff structures. Note the following range of fares: • Pedestrian—from $5.20 for Gulf Island service to $170 for service to Port Hardy • Vehicle Tariffs (always in addition to the pedestrian fare) – Bicycle—from $2 to $5 – Motorcycle—from $5.70 to $23.40 – Vehicle and/or other combination less than 20 feet—from $11 to $400 – Vehicle and/or other combination longer than 20 feet—from $33 per foot additional – Buses—from $1.55 to $23 per foot 84 Guidelines for Ferry Transportation Services

Discount rates are available to groups of 16 or more fare-paying passengers travelling together on foot or in a vehicle licensed to carry 16 or more passengers (e.g., a bus) on the following routes: • Tsawwassen–Swartz Bay • Tsawwassen–Duke Point • Horseshoe Bay–Departure Bay • Tsawwassen–Gulf Islands • Prince Rupert–Port Hardy • Port Hardy–Mid Coast • Prince Rupert–Skidegate Fare Discounts. BC Ferries provides several fare discount programs. These include prepaid fares via the BC Ferries Experience Card, available on several routes for loading a minimum amount of money to the card (the Vancouver to Vancouver Island service does not receive a dis- count). In addition, four routes use prepaid paper ticket books. BC Ferries also uses peak/off-peak tariffs, and these rate changes cover mid-week discounts as well as less expensive off-season rates. British Columbia senior residents can travel free (pedestrian only) Monday through Thurs- day, excluding five peak or holiday days. Operating Expenses. BC Ferries has expenses of about $570 million annually. These expenses include about $335 million in operations, about $89 million in maintenance, about $50 million in administration, about $30 million for the cost of goods sold on ships, and about $66 million in amortization. Interest expenses result in expense of another $34 million. In 2008, BC Ferries had total revenues including government payments and subsidies, of about $640 million. Retained earnings (the company is not-for-profit) were about $37 million (British Columbia Ferry Services, Inc./BC Ferries Authority, 2008). Funding Sources BC Ferries’ unique operating structure contributes to an equally unique financing arrangement. Every route charges a fare and in total, about two-thirds of the operating and capital cost of the service is derived from fares. Ancillary services (such as food and beverage) contribute 9 percent to service operations, with the balance obtained from provincial and federal subsidies. Under the Coastal Ferry Act, the province enters into contracts for the operation of ferries on specified ferry routes. So far, BC Ferries is the only ferry operator that has such a contract with the province. The primary feature of the contract is a commitment by BC Ferries to provide a defined number of “core” sailings on each of 25 “designated” routes. The province’s key com- mitment is to pay BC Ferries a “service fee” (currently on 22 of the 25 routes) for each sailing. During the contract term, BC Ferries must meet or exceed specified core service levels in rela- tion to designated ferry routes. The Coastal Ferry Services Contract specifies routes and core service levels per route (hours of operation, minimum capacity, and frequency and number of trips), subject to an allowance for short-term, temporary service disruptions. In return, the province pays BC Ferries for the provision of services. About one-third of BC Ferries’ annual budget comes from government payments. The pay- ments will approach about $125 million in Fiscal Year 2011/12. There are three categories of government payments: • Ferry Transportation Fees. These fees subsidize 22 unprofitable routes in smaller markets and to avoid cross subsidization from the three major (profitable) routes (which receive no ferry transportation fee). Ferry Case Studies 85

• Social Program Reimbursement. This approximately $12-million payment provides a reim- bursement to BC Ferries for toll discounts established by the province and given to students, seniors, people with disabilities and those who qualify for the medical travel assistance program. • Unregulated Route Fee. This fee provides about $2 million in annual funding for unregulated routes through a flow-through for private operators. Each route’s expenses include both operating and capital costs. The BC Ferry Commission reviews BC Ferries’ rates to ensure that BC Ferries is reimbursed for operating expenses, admin- istrative expenses, and the amortized cost of capital facilities and vessels. The Vancouver–Vancouver Island services represent about 60 percent of BC Ferries’ total rev- enue and operate with no government subsidy. In 2007–2008, more than 11 million passengers used these services, and the services carried almost 4 million vehicles. Users generated about $104 mil- lion in passenger fares, $182 million in vehicle tariffs, and $64 million in onboard services (food, beverage, etc.). Parking, reservation, and other fees generated another $20 million in revenues. The northern routes have a farebox recovery of about 34 percent (and represent about 8 per- cent of total cost). In 2007–2008, these routes carried about 100,000 passengers and almost 34,000 vehicles. The northern routes generated about $17 million (CAD) in passenger/vehicle revenues and received a subsidy of about $33 million. The other routes represent about one-third of BC Ferries’ service and cover about half of their costs through the fares and tariffs. In 2007–2008, this route group carried about 10.4 million pas- sengers and 4.6 million vehicles and generated about $31 million in passenger fares and more than $51 million in vehicle tariffs. These routes also generated about $12 million in other ancil- lary revenues (British Columbia Ferry Services, Inc./BC Ferries Authority, 2008). Planning Issues Environmental and Regulatory Issues At BC Ferries, environmental and cost containment issues intersect at fuel efficiency. The company has a commitment to reducing greenhouse gas emissions and saving money. For the last 7 years, BC Ferries has reduced its annual fuel consumption with two-thirds of the fleet being repowered. As a result, BC Ferries has seen a 35- to 40-percent reduction in fuel consumption. The organization is also cleaning hulls and has added new propellers and rudders to reduce drag and the power required to maintain scheduled speed. The largest vessels have not been repowered, but the engines have been rebuilt. As a result, lube oil consumption was reduced by two-thirds and emissions were also reduced. BC Ferries is also using operational procedures to reduce fuel consumption. On-time departures mean less engine idling and lower fuel consumption in addition to contributing to better safety and on-time arrivals. There is now a 5-minute “cut-off” for passengers to board and a 10-minute “cut- off” for vehicles. BC Ferries is also using technology to reduce fuel and other operational costs. GPS-enabled piloting identifies the routes with the best environmental conditions and results in optimized power for sailing. These advanced piloting techniques and technologies result in a 5- to 6-percent fuel savings. Currently, 5 percent of BC Ferries’ fuel supply is biodiesel. This percentage will likely increase to 10 percent as the biodiesel portion of the fuel supply increases. Only ultra-low sulfur fuel is used. BC Ferries is also considering natural gas vessels for its smaller routes and could even convert one of its routes to a cable ferry. These additional measures could result in a further 20- to 30-percent reduction in fuel consumption (Interview with BC Ferries, June 2010). 86 Guidelines for Ferry Transportation Services

Other environmental initiatives include replacing ground transportation vehicles with fuel- efficient and lower emission vehicles as well as using propane and electrically powered baggage vans and service vehicles. The company has also replaced chemical cleaning and maintenance with “greener” products, including a de-icing product that is less corrosive than road salt. Recycling is also an important priority. Each week BC Ferries composts almost one ton of compostable material and recycles everything from cardboard to used cooking oil. Land Use Issues As with other highway-oriented and rural ferry systems, BC Ferries provides critical access for isolated communities and is the “highway” for many communities. The main land use impact of the BC Ferries system is to provide access to communities in much the same way a highway provides access. On the most intensely travelled routes between Vancouver and Vancouver Island, terminals tend to be large, with staging areas and adjacent parking. Reflecting the historical growth of the ferry service, terminals are located in areas where water crossings made the most sense. The Tsawwassen, Horseshoe Bay, Swartz Bay, Duke Point, and Departure Bay terminals all are located some distance from primary land uses (Swartz Bay is about 25 miles from Victoria, and Duke Point and Departure Bay flank Nanamio). Some of the smaller ferry services do terminate in the traditional town centers. The operating and funding scenario for BC Ferries limits access to smaller communities. Since the provincial ferry transportation fee is fixed, any additional increase in service or change in vessel capacity needs to be reflected in higher fares. While the financing system was designed to bring accountability and transparency to BC Ferries’ financing and service allocation, some of the smaller, ferry-dependent communities consider themselves “abandoned” (Interview with BC Ferries, June 2010). The service levels don’t increase, vessels tend not to be replaced, and vessel sizes aren’t increased because that would end up reflected in higher fares. As a result, one of the traditional aspects of transportation—creating land value by being a loss leader—is limited to the existing provincial financial support levels. Emergency Response Safety and response is a high priority at BC Ferries. The company developed a security plan in 2007, and, as a result of the 2010 Olympics, new measures concerning physical security as well as new procedures and baggage handling were implemented. The company is fully compliant with the International Ship and Port Facility Security (ISPS) Code. Crew training is conducted regularly. Training includes about 14,000 annual training days and about 1,300 training days for marine evacuation systems. In addition, all ships have Voyage Data Recorders (black boxes). Ferry Case Studies 87

TRB’s Transit Cooperative Research Program (TCRP) Report 152: Guidelines for Ferry Transportation Services examines the history and characteristics of ferry systems throughout North America and offers guidelines for planning, marketing, operating, and managing a ferry system as a component of an overall transportation network.

The report also explores the potential benefits of and impediments to ferry transportation services and identifies potential planning, operational, and management benchmarks.

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How to Write a Case Study - All You Wanted to Know

What do you study in your college? If you are a psychology, sociology, or anthropology student, we bet you might be familiar with what a case study is. This research method is used to study a certain person, group, or situation. In this guide from our dissertation writing service , you will learn how to write a case study professionally, from researching to citing sources properly. Also, we will explore different types of case studies and show you examples — so that you won’t have any other questions left.

What Is a Case Study?

A case study is a subcategory of research design which investigates problems and offers solutions. Case studies can range from academic research studies to corporate promotional tools trying to sell an idea—their scope is quite vast.

What Is the Difference Between a Research Paper and a Case Study?

While research papers turn the reader’s attention to a certain problem, case studies go even further. Case study guidelines require students to pay attention to details, examining issues closely and in-depth using different research methods. For example, case studies may be used to examine court cases if you study Law, or a patient's health history if you study Medicine. Case studies are also used in Marketing, which are thorough, empirically supported analysis of a good or service's performance. Well-designed case studies can be valuable for prospective customers as they can identify and solve the potential customers pain point.

Case studies involve a lot of storytelling – they usually examine particular cases for a person or a group of people. This method of research is very helpful, as it is very practical and can give a lot of hands-on information. Most commonly, the length of the case study is about 500-900 words, which is much less than the length of an average research paper.

The structure of a case study is very similar to storytelling. It has a protagonist or main character, which in your case is actually a problem you are trying to solve. You can use the system of 3 Acts to make it a compelling story. It should have an introduction, rising action, a climax where transformation occurs, falling action, and a solution.

Here is a rough formula for you to use in your case study:

Problem (Act I): > Solution (Act II) > Result (Act III) > Conclusion.

Types of Case Studies

The purpose of a case study is to provide detailed reports on an event, an institution, a place, future customers, or pretty much anything. There are a few common types of case study, but the type depends on the topic. The following are the most common domains where case studies are needed:

• Historical case studies are great to learn from. Historical events have a multitude of source info offering different perspectives. There are always modern parallels where these perspectives can be applied, compared, and thoroughly analyzed.
• Problem-oriented case studies are usually used for solving problems. These are often assigned as theoretical situations where you need to immerse yourself in the situation to examine it. Imagine you’re working for a startup and you’ve just noticed a significant flaw in your product’s design. Before taking it to the senior manager, you want to do a comprehensive study on the issue and provide solutions. On a greater scale, problem-oriented case studies are a vital part of relevant socio-economic discussions.
• Cumulative case studies collect information and offer comparisons. In business, case studies are often used to tell people about the value of a product.
• Critical case studies explore the causes and effects of a certain case.
• Illustrative case studies describe certain events, investigating outcomes and lessons learned.

Need a compelling case study? EssayPro has got you covered. Our experts are ready to provide you with detailed, insightful case studies that capture the essence of real-world scenarios. Elevate your academic work with our professional assistance.

Case Study Format

The case study format is typically made up of eight parts:

• Executive Summary. Explain what you will examine in the case study. Write an overview of the field you’re researching. Make a thesis statement and sum up the results of your observation in a maximum of 2 sentences.
• Background. Provide background information and the most relevant facts. Isolate the issues.
• Case Evaluation. Isolate the sections of the study you want to focus on. In it, explain why something is working or is not working.
• Proposed Solutions. Offer realistic ways to solve what isn’t working or how to improve its current condition. Explain why these solutions work by offering testable evidence.
• Conclusion. Summarize the main points from the case evaluations and proposed solutions. 6. Recommendations. Talk about the strategy that you should choose. Explain why this choice is the most appropriate.
• Implementation. Explain how to put the specific strategies into action.
• References. Provide all the citations.

How to Write a Case Study

Let's discover how to write a case study.

Setting Up the Research

When writing a case study, remember that research should always come first. Reading many different sources and analyzing other points of view will help you come up with more creative solutions. You can also conduct an actual interview to thoroughly investigate the customer story that you'll need for your case study. Including all of the necessary research, writing a case study may take some time. The research process involves doing the following:

• Define your objective. Explain the reason why you’re presenting your subject. Figure out where you will feature your case study; whether it is written, on video, shown as an infographic, streamed as a podcast, etc.
• Determine who will be the right candidate for your case study. Get permission, quotes, and other features that will make your case study effective. Get in touch with your candidate to see if they approve of being part of your work. Study that candidate’s situation and note down what caused it.
• Identify which various consequences could result from the situation. Follow these guidelines on how to start a case study: surf the net to find some general information you might find useful.
• Make a list of credible sources and examine them. Seek out important facts and highlight problems. Always write down your ideas and make sure to brainstorm.
• Focus on several key issues – why they exist, and how they impact your research subject. Think of several unique solutions. Draw from class discussions, readings, and personal experience. When writing a case study, focus on the best solution and explore it in depth. After having all your research in place, writing a case study will be easy. You may first want to check the rubric and criteria of your assignment for the correct case study structure.

Read Also: ' WHAT IS A CREDIBLE SOURCES ?'

Although your instructor might be looking at slightly different criteria, every case study rubric essentially has the same standards. Your professor will want you to exhibit 8 different outcomes:

• Correctly identify the concepts, theories, and practices in the discipline.
• Identify the relevant theories and principles associated with the particular study.
• Evaluate legal and ethical principles and apply them to your decision-making.
• Recognize the global importance and contribution of your case.
• Construct a coherent summary and explanation of the study.
• Demonstrate analytical and critical-thinking skills.
• Explain the interrelationships between the environment and nature.
• Integrate theory and practice of the discipline within the analysis.

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Pick a topic, tell us your requirements and get your paper on time.

Case Study Outline

Let's look at the structure of an outline based on the issue of the alcoholic addiction of 30 people.

Introduction

• Statement of the issue: Alcoholism is a disease rather than a weakness of character.
• Presentation of the problem: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there.
• Explanation of the terms: In the past, alcoholism was commonly referred to as alcohol dependence or alcohol addiction. Alcoholism is now the more severe stage of this addiction in the disorder spectrum.
• Hypotheses: Drinking in excess can lead to the use of other drugs.
• Importance of your story: How the information you present can help people with their addictions.
• Background of the story: Include an explanation of why you chose this topic.
• Presentation of analysis and data: Describe the criteria for choosing 30 candidates, the structure of the interview, and the outcomes.
• Strong argument 1: ex. X% of candidates dealing with anxiety and depression...
• Strong argument 2: ex. X amount of people started drinking by their mid-teens.
• Strong argument 3: ex. X% of respondents’ parents had issues with alcohol.
• Concluding statement: I have researched if alcoholism is a disease and found out that…
• Recommendations: Ways and actions for preventing alcohol use.

Writing a Case Study Draft

After you’ve done your case study research and written the outline, it’s time to focus on the draft. In a draft, you have to develop and write your case study by using: the data which you collected throughout the research, interviews, and the analysis processes that were undertaken. Follow these rules for the draft:

Use Data to Illustrate Key Points in Your Case Study

Even though your case study is a story, it should be based on evidence. Use as much data as possible to illustrate your point. Without the right data, your case study may appear weak and the readers may not be able to relate to your issue as much as they should. Let's see the examples from essay writing service :

‍ With data: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there. Without data: A lot of people suffer from alcoholism in the United States.

Try to include as many credible sources as possible. You may have terms or sources that could be hard for other cultures to understand. If this is the case, you should include them in the appendix or Notes for the Instructor or Professor.

Finalizing the Draft: Checklist

After you finish drafting your case study, polish it up by answering these ‘ask yourself’ questions and think about how to end your case study:

• Check that you follow the correct case study format, also in regards to text formatting.
• Check that your work is consistent with its referencing and citation style.
• Micro-editing — check for grammar and spelling issues.
• Macro-editing — does ‘the big picture’ come across to the reader? Is there enough raw data, such as real-life examples or personal experiences? Have you made your data collection process completely transparent? Does your analysis provide a clear conclusion, allowing for further research and practice?

Problems to avoid:

• Overgeneralization – Do not go into further research that deviates from the main problem.
• Failure to Document Limitations – Just as you have to clearly state the limitations of a general research study, you must describe the specific limitations inherent in the subject of analysis.
• Failure to Extrapolate All Possible Implications – Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings.

How to Create a Title Page and Cite a Case Study

Let's see how to create an awesome title page.

Your title page depends on the prescribed citation format. The title page should include:

• A title that attracts some attention and describes your study
• The title should have the words “case study” in it
• The title should range between 5-9 words in length
• Your name and contact information
• Your finished paper should be only 500 to 1,500 words in length.With this type of assignment, write effectively and avoid fluff

Here is a template for the APA and MLA format title page:

There are some cases when you need to cite someone else's study in your own one – therefore, you need to master how to cite a case study. A case study is like a research paper when it comes to citations. You can cite it like you cite a book, depending on what style you need.

Citation Example in MLA ‍ Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies. Boston: Harvard Business Publishing, 2008. Print.

Citation Example in APA ‍ Hill, L., Khanna, T., & Stecker, E. A. (2008). HCL Technologies. Boston: Harvard Business Publishing.

Citation Example in Chicago Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies.

Case Study Examples

To give you an idea of a professional case study example, we gathered and linked some below.

Eastman Kodak Case Study

Case Study Example: Audi Trains Mexican Autoworkers in Germany

To conclude, a case study is one of the best methods of getting an overview of what happened to a person, a group, or a situation in practice. It allows you to have an in-depth glance at the real-life problems that businesses, healthcare industry, criminal justice, etc. may face. This insight helps us look at such situations in a different light. This is because we see scenarios that we otherwise would not, without necessarily being there. If you need custom essays , try our research paper writing services .

Get Help Form Qualified Writers

Crafting a case study is not easy. You might want to write one of high quality, but you don’t have the time or expertise. If you’re having trouble with your case study, help with essay request - we'll help. EssayPro writers have read and written countless case studies and are experts in endless disciplines. Request essay writing, editing, or proofreading assistance from our custom case study writing service , and all of your worries will be gone.

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Crafting a case study is not easy. You might want to write one of high quality, but you don’t have the time or expertise. Request ' write my case study ' assistance from our service.

What Is A Case Study?

How to cite a case study in apa, how to write a case study.

Daniel Parker

is a seasoned educational writer focusing on scholarship guidance, research papers, and various forms of academic essays including reflective and narrative essays. His expertise also extends to detailed case studies. A scholar with a background in English Literature and Education, Daniel’s work on EssayPro blog aims to support students in achieving academic excellence and securing scholarships. His hobbies include reading classic literature and participating in academic forums.

is an expert in nursing and healthcare, with a strong background in history, law, and literature. Holding advanced degrees in nursing and public health, his analytical approach and comprehensive knowledge help students navigate complex topics. On EssayPro blog, Adam provides insightful articles on everything from historical analysis to the intricacies of healthcare policies. In his downtime, he enjoys historical documentaries and volunteering at local clinics.

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Street Tree Inventory: A Case Study Comparing Systematic Sampling vs. Stratified Systematic Sampling in Piracicaba City, Brazil

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Methods In the densely urbanized area of Piracicaba (Sao Paulo State, Brazil), 90 sets of 4 blocks were systematically sampled. They were used to compose sampling units of 1, 2, 3, and 4 blocks. Stratification was based on the percentage of street tree cover obtained with geoprocessing tools. Only public trees with a circumference at breast height greater than or equal to 12 cm and planted on sidewalks or avenue medians were included.

Results The effect of sampling unit size and stratification on estimate accuracy, sample size, and sampling intensity were analyzed. The results show that stratified systematic sampling was the more accurate process, especially for D F , D g , and D V .

Conclusions Reductions in sample size were more significant when stratified systematic sampling of 2-block sampling units were used.

• Sampling Processes
• Sampling Unit Size
• Street Tree Cover Mapping
• Urban Forest Inventory
• Introduction

Forest inventories are necessary to quantify the benefits provided by street trees, such as air purification, thermal comfort, reduction of heat island and stormwater effects, landscape and habitat connectivity, biodiversity conservation, carbon sequestration potential, and others ( Kim 2016 ; Tan et al. 2021 ; Cavender-Bares et al. 2022 ).

The inventory scope, variables of interest, precision, and process are determined by goals, limited by time and resources, and can be influenced by specific features of an area and study population ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ). Concerning street tree populations, sampling inventories can provide adequate information for many projects and are less costly than a census. The sample is sufficient to acquire an overview of a population, though it does not provide specific data on all trees ( Grey and Deneke 1992 ; Miller 1996 ).

To run a sampling inventory, first it is necessary to define the variables of interest, which are the population characteristics that will be estimated. Subsequently, it is necessary to define the sampling unit so that the population is divided into small portions from which can be obtained a unique observed value of the variables of interest ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ). The sampling units can be equal-area or variable-area plots, or non-surface sampling units, such as lines and points (e.g., the trees themselves) ( Jaenson et al. 1992 ; Alvarez et al. 2005 ; Nagendra and Gopal 2010 ; Nowak et al. 2015 ).

In sampling inventories of street tree populations, variables of interest are usually defined per sidewalk length, like trees per kilometer of sidewalk. The sampling unit is a block or street, and its edges are sidewalks. In this way, it is easy to identify and determine which plants should be considered ( Jaenson et al. 1992 ; Alvarez et al. 2005 ; Nagendra and Gopal 2010 ; Nowak et al. 2015 ).

Sampling units of efficient size are those that provide estimates with low variance ( S 2 ), which means that the sampling units have little variability between each other and values closer to the sample mean. Increasing sampling unit size can decrease their variability once they become more like the population, but it is necessary to find the size that is cost effective ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ).

The sample comprises a set of selected sampling units using a determined sampling process. The most common are: simple random sampling (sampling units are randomly obtained within the population); systematic sampling (sampling units are selected at a constant interval from a selected sampling unit that is initially sampled randomly); and stratified systematic sampling (a population is initially divided into strata, also called homogeneous sub-populations, and the sample is thus composed of sub-samples from each stratum) ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ).

The distribution and composition of street tree populations are influenced by factors such as degree of urbanization, zoning, road infrastructure, municipal investment and management, educational level, and residents’ affinity with plants. For example, city street trees are often grouped in monospecific plantings locally for aesthetic or cost reasons. This is one reason for spatial heterogeneity ( Jim 1998 ; Nagendra and Gopal 2010 ; Lo and Jim 2012 ).

Therefore, woody regions occur throughout the city, and variables of interest are grouped in spatial distributions accordingly. In this context, systematic sampling is presented as a suitable process for sample selection, as the sampling units are evenly spaced and can be proportionally distributed in the regions of the area. Thus, a systematic sample assures greater spatial balance and is more likely to cover the range of variable values than a random sample. Another advantage of systematic sampling is that the location of a systematic sampling unit is usually easily identifiable ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ). Several previous studies about street tree inventorying have used random samples. Still, it is generally accepted that the sampling units may be concentrated in certain areas, and that the sample might omit, underrepresent, or overrepresent large regions of the city ( Jaenson et al. 1992 ; Maco and Mcpherson 2003 ; Alvarez et al. 2005 ).

Systematic samples do not necessarily represent the population more than simple random samples. However, systematic samples assure greater spatial balance and, therefore, have a greater probability of covering the range of variable values in the population.

The main potential difficulty of systematic sampling is associated with the periodicity of the population, which may occur if there are heterogeneous regions in the area. Of course, this will only be noted if the sampling units intersect those regions. Under these conditions, estimates of variables of interest will be inaccurate, and variance will be underestimated, since this sample may not specifically resemble the population. On the other hand, stratified systematic sampling seems to be more efficient in heterogeneous populations because the estimates are separately made for each stratum rather than for the entire population. This results in lower standard errors, assuming strata are correctly defined and the homogeneous subpopulations are properly delimited ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ).

If the stratification is proper, the stratified systematic sample will be smaller than the simple systematic sample, i.e., a sample with fewer sampling units ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ). Regarding the stratification of street tree population by sociopolitical variables, like socioeconomic level, administrative division, and occupancy date, no previous research examining a correlation between those variables and the distribution of street trees throughout the city was found. Although such stratification could contribute to characterizing city zones, it does not reduce sample size ( Jaenson et al. 1992 ; Alvarez et al. 2005 ).

Nevertheless, Nagendra and Gopal (2010) obtained efficient stratification using a quantitative variable: road width. The percentage of street tree cover is a quantitative variable as well, and using it as a stratification variable seems to be suitable, given its positive correlation with tree crown area, diameter at breast height, total height, and number of trees ( Brix and Mitchell 1983 ; Sanders 1984 ; Nowak 1994 ; O’Brien et al. 1995 ; Tonini and Arco-Verde 2005 ).

Traditionally, a street tree inventory is used as a source of data for planning their management in the urban space, collecting variables that capture characteristics like the distribution of species and diameters, plant health, and distance from other urban elements ( Grey and Deneke 1992 ; Miller 1996 ). However, the expansion of urban ecology and interest in ecosystem services derived from street trees drives the demand for knowledge about efficient processes for accurately estimating underexplored quantitative variables, such as crown area, volume, and biomass of populations or species. These are essential to managing street trees to understand better how to augment their ecosystem services ( Nowak et al. 2008 ; Speak et al. 2018 ).

The estimation of ecosystem services has been made using allometric equations obtained by regression analysis, in which the dependent variable is the ecosystem service, and the independent variables are measurable characteristics of the population ( Woodall et al. 2011 ; Pretzsch et al. 2023 ). There is also software developed for this purpose, such as i-Tree, which requires variables like diameter at breast height (DBH) and tree species in its calculations ( Bagstad et al. 2013 ; Zięba-Kulawik 2021 ).

This manuscript deals with a case study comparing systematic sampling with stratified systematic sampling using the percentage of street cover as a stratification variable for street tree inventory in Piracicaba City, Brazil. Four different sampling unit sizes are also compared to estimate five variables of interest.

• Materials and Methods

Piracicaba is a medium-sized city located in the Brazilian state of Sao Paulo. The city has an overall area of 221 km 2 , a human population of 356,743 (1,614 people/km 2 ), and 1,575 km of public streets ( IBGE 2010 ; IPPLAP 2015 ). The study area covers only the most densely urbanized area of Piracicaba (22°39′23″S and 22°46′51″S, 47°34′49″W and 47°42′16″W), which is at 554 m in elevation and has an Aw Köppen class–tropical savanna climate with dry winter. It covers only 82 km 2 (37% of the city’s overall size) and 991 km of public streets (63% of the total length).

To delimit the study area, we used an image of the overall area of Piracicaba that was captured on 2011 April 22 by the WorldView II satellite (0.5-m spatial resolution) composed of R, G, B, and NIR bands, merged, orthorectified, and georeferenced to WGS 1984 datum and Universal Mercator system (UTM) Zone 23 South coordinates. A georeferenced grid with cells of 0.75 km 2 (862 m × 862 m) was laid over the image in QGIS software, and cells that had more than 50% of the urbanized area and formed a continuous area were selected for inclusion in the study area, amounting to 90 cells or 66.8 km 2 ( Figure 1 ).

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The study area: the densely urbanized area of Piracicaba City, São Paulo, Brazil (66.8 km 2 ).

Simple Systematic Sampling

Simple systematic sampling was carried out using the georeferenced grid of 90 cells. Then, a grid of points was used to mark the center of the cells, and each point served to locate the nearest set of 4 blocks without squares or parks that were preferably arranged around a crossroad. Using different configurations of the sampling unit, 4 samples with 90 sampling units were determined: 1, 2, 3, and 4 blocks ( Figure 2 ).

Scheme of sampling units’ selection.

The total number of blocks in the study area was 3,759, so for each sampling unit size, the population ( N ) corresponds to 3,759 sampling units (1-block size); 1,879 sampling units (2-block size); 1,253 sampling units (3-block size); and 940 sampling units (4-block size). Thus, the sampling intensity (i.e., the percentage of the population that has been sampled) from each sampling unit size was, respectively, 2.4%, 4.8%, 7.2%, and 9.6%.

For this study, the following estimates of simple random sampling for finite populations described by Shiver and Borders (1996) were used:

where x i is the value of i th sampling unit, n is the total number of sampling units in the sample, N is the total number of sampling units in the population, t is Student’s t -value for α obtained from the 2-tailed table, and 1 – α is the probability that the confidence interval will capture the true mean.

The sample size ( n e ) was determined for 95% and 90% confidence intervals (α equal to 0.05 and 0.1, and t a equal to 1.99 and 1.66, respectively) with 10%, 15%, and 20% of allowable error ( AE % ).

Stratified Systematic Sampling

Stratification of the study area by the percentage of street tree cover.

First, the urbanized area in each of the 90 cells was separated to stratify the study area by the percentage of street tree cover. For this portion, the ArcGIS software vectorized areas are not considered part of that urban structure. They were: (1) unoccupied areas (non-urbanized areas); (2) new housing developments (despite having urban infrastructure, these areas do not contain a developed population of street trees, i.e., their circumference at breast height is less than 12 cm); (3) mining and agriculture areas are generally much larger than one block and are in industrial areas or suburbs of a city; and (4) riparian forests and rivers are protected areas, such as the Piracicaba River. These areas were subtracted from the area of the cells, leaving only what we called the urbanized area.

Next, the cover area of the street trees only was obtained. The same software was used to delete the vegetation not included from the cells, i.e., (1) central block vegetation (garden vegetation); and (2) parks and squares (including their sidewalks). The image contained only streets, sidewalks, avenue medians, and vegetation. Supervised Classification was run with an image processing software called Multispec to map the following land cover classes: street tree cover, asphalt, and exposed soil. Fifteen samples (with a size of approximately twenty pixels) of each land cover class were delimited in the image, shown by the class of spectral signature, and each pixel was classified ( Multispec 2017 ). Finally, the percentage of street tree cover in each cell was calculated by the ratio of street tree cover area to urbanized area.

To identify the strata, the cells were categorized into the following street tree cover percentages: 1% to 2% (10 cells); 2% to 3% (31 cells); 3% to 4% (18 cells); 4% to 5% (10 cells); 5% to 6% (3 cells); 6% to 7% (8 cells); 7% to 8% (5 cells); 8% to 9% (2 cells); and 9% to 12% (3 cells). The 9% to 12% cells were grouped into the same category so that all categories had more than one cell ( Figure 3a ).

Stratification of the study area: (a) class percentage of street tree cover into cells; (b) stratification of cells via percentage of street tree cover.

Two strata were delimited through visual interpretation of the cluster of cells with approximate street tree cover. So, most cells with more than 5% of street tree cover were placed into Stratum 1 and less than 5% into Stratum 2 ( Figures 3a and 3b ). A mix of cells remained. For example, cell #80, which has 6.76% tree cover, is in the middle of Stratum 2, although it has a value that would put it in Stratum 1. We distributed the cells with values between 4% and 5% into the 2 strata using the neighborhood criterion based on our best judgment of the tree cover. The certain mix of cells was useful in maintaining the continuity of the strata. The stratum continuity is not obligatory but can facilitate fieldwork in everyday situations.

Estimates of Stratified Systematic Sampling

The following estimates of stratified systematic sampling for finite populations were used for the 4 different samples ( Shiver and Borders 1996 ):

Sample size ( n e ) was determined for 95% and 90% confidence intervals (α equal to 0.05 and 0.1, and t ∝ equal to 1.99 and 1.66, respectively) with 10%, 15%, and 20% allowable error ( AE % ), as in the simple systematic sampling. There is no coefficient of variation for the population, only for strata.

Collecting Data, Calculating Variables, and Determining Form Factor of Trunk from Street Tree Population

The data to calculate the variables of interest were collected from March to May 2013 (for 3 months). Only public street plants with a circumference at breast height (CBH) ≥ 12 cm that were planted on sidewalks or avenue medians up to 3 m wide were included (larger avenue medians were considered squares). It is important to note that shrub species are used as street trees in the study area. In Brazil, they are pruned to have only one stem and to reach about 3 m in height.

The following data were stored in a spreadsheet software using hardware in the field: location, species, circumference at breast height ( CBH , m), total height ( H t , m), and height of first fork ( H f , m). A sequential number was assigned to each sampling unit, block, and plant, and the street name was recorded; botanical identification was carried out in the field or when necessary by an expert in plant taxonomy using botanical material (a collected branch, preferably with flowers and fruits); CBH (m) was measured from the trunk at 1.30 m using a tape (0.1-cm accuracy), but if the plant fork was below 1.30 m, all branches with CBH ≥ 12 cm were measured; H t (m) was measured from the base to the top of the plant using a hypsometer (measurement error up to 0.3 m; Vasilescu 2013 ); and H f (m) was measured from the base to the first fork of the trunk or until the trunk tapered to 5.0 cm in diameter using a hypsometer. The perimeter of blocks (m) was measured along curbs using a wheel tape (0.1-m accuracy).

The following variables were calculated for each street tree:

where g (m 2 ) is the basal area of the trunk or the sum of basal areas of branches; b is the number of branches; DBH (m) is the diameter at breast height of the trunk or each branch, which was calculated from the CBH ; CBH (m) is the circumference at breast height of the trunk or each branch, which was measured from the street tree; i is the counter of circumferences and diameters at breast height from the branches; DBH c (m) is the corresponding diameter from the basal area of the trunk or sum of basal areas of branches; V (m 3 ) is the estimated volume of the trunk using f c ; H t (m) is the total height of the plant; and f c is the form factor of the trunk from the street tree population, which was equal to 0.5178 as calculated below. Data analyses were conducted using statistical software ( R Core Team 2019 ).

The form factor ( f c ) was established from the 10 most frequent species representing 56.6% of the sampled street trees. They were: (1) Murraya paniculata (L.) Jack (16.26%); (2) Licania tomentosa (Benth.) Fritsch. (10.36%); (3) Poincianella pluviosa (DC.) L.P.Queiroz (6.44%); (4) Lagerstroemia indica L. (6.42%); (5) Schinus molle L. (3.13%); (6) Magnolia champaca L. (3.05%); (7) Handroanthus chrysotrichus (Mart. ex DC.) Mattos (2.94%); (8) Syagrus romanzoffiana (Cham.) Glassman. (2.92%); (9) Calistemon viminalis G. Don ex Loud. (2.73%); and (10) Terminalia catappa L. (2.54%)( Table S1 ).

The range of basal areas (cross section at breast height areas) obtained for those species was divided into 3 classes, and 2 plants that forked above 1.30 m were randomly selected from each class. For those 60 plants (10 species × 3 basal area classes × 2 plants), the trunk scaling was determined using an electronic dendrometer (Laser Technology, Inc., USA), which provides estimates of height and diameter along the trunk with an accuracy up to 0.635 cm ( Laser Technology 2016 ). Cross-section diameters of each selected plant trunk were measured from the base up to 5 cm or up until some obstruction arose, such as the canopy or where there were many forks. The actual volume of the trunks was calculated using Smalian’s Formula, as described by Husch et al. (2002) , who claimed that it is necessary to measure diameters to 0.1 m, 0.3 m, 0.7 m, and 1.3 m from the ground, and thereafter at 1-m intervals to obtain accurate data of volume. Finally, form factor ( f c ) was established by the following formula ( Prodan et al. 1997 ):

where f c is the form factor; V a (m 3 ) is the actual volume of the trunk by Smalian’s formula; V c (m 3 ) is the cylindrical volume of the trunk; g (m 2 ) is the basal area of the trunk; H t (m) is the total height of the plant; and 60 is the number of trunk scaling.

Variables of Interest of Forest Inventory

The following variables of interest were calculated for each sampling unit ( Table S2 ):

where f (u) is the number of plants in the sampling unit; P (km) is the length of the sampling unit, which is the sum of perimeters of its blocks; g (m 2 ) is the basal area of the trunk; H t (m) is the total height of the plant; V (m 3 ) is the estimated volume of the plant; and e (u) is the number of species in the sampling unit.

Some 5,744 plants were cataloged throughout 360 blocks within the city, corresponding to 9.6% of the total 3,759 blocks. If that value is extrapolated, the study area population could be estimated at approximately 60,000 street trees. From the 360 selected blocks, the mean perimeter was 428.31 m, the smallest perimeter was 155.1 m, and the largest perimeter was 1,164.2 m; the 99% probability range was 428.31 ± 280.23 m, and the coefficient of variation was 32.9%.

We observed that 1,599 individuals (27.83%) are shrubs and, therefore, belong to species that branch from the base, must be repeatedly pruned to acquire the shape of small trees, and have low wood density. The other 4,145 individuals (72.16%) belong to arboreal species, which have bigger dimensions than shrubs, only 1 or 2 stems, and vary in wood density.

Corresponding diameter at breast height ( DBH c ) and total height ( H t ) show frequency concentration in lower class values, with DBH c up to 25 cm and H t up to 6 m. The mean DBH c was 21.04 cm, the median was 17.51 cm, and the coefficient of variation was 65.16%, while the mean H t was 6.20 m, the median was 5.10 m, and the coefficient of variation was 55.59% ( Figure 4 and Table 1 ).

Histograms of dendrometric variables of street trees: corresponding diameter at breast height (cm) and total height (m).

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The Results from Variables of Interest

Here, we will reference the estimates of the variables of interest from 4-block sampling units and α = 5% because they have the lowest error ( Table 2 ).

Basal area per kilometer of sidewalk ( D g ) and volume per kilometer of sidewalk ( D V ) present greater variability and much more noticeable reduction of the coefficient of variation due to the stratification, more than 15% to D g ( D g presents CV % = 81.54 from entire population, CV % = 68.48 from Stratum 1, CV % = 55.93 from Stratum 2) and more than 24% to D V ( D V presents CV % = 115.39 from entire population, CV % = 87.09 from Stratum 1, CV % = 77.44 from Stratum 2) ( Table 2 ).

The Results from Increasing Sampling Unit Size

Now, we will consider only the results of increasing the sampling unit and not that of stratification ( Table 2 ). However, similar behavior of error estimates can be identified from both strata.

For the number of species per kilometer of sidewalk ( D E ), the greatest decrease in error estimates occurs from the 2-to 3-block sampling unit size, and the stability of sample mean value occurs from the 3-to 4-block sampling unit size.

Now, we will observe the results of sample size ( n e ) and sampling intensity ( I % ) according to the increase in sampling unit size. For this, we will focus on 10% allowable error and 95% confidence interval (α = 5%), which require the greatest sample size and let us better note the change in n e and I % due to sampling unit size increase ( Table 3 ).

We note for D F , D g , and D V that the increase in sampling unit size from 1 to 2 blocks causes a relatively larger decrease in sample size n e (29.82% to D F , 30.69% to D g , 28.95% to D V from SSS; 22.99% to D F , 33.55% to D g , 30.19% to D V from StSS). For the 3-block sampling units, the decrease in n e is not as large (15% to D F , 15.27% to D g , 19.33% to D V from SSS; 14.93% to D F , 11.5% to D g , 14.59% to D V from StSS), and I % almost doubles compared with a 1-block sampling unit. Thus, 3-block and 4-block sampling unit sizes cause high increases in sampling intensity.

The Results from Stratification by Cover Area

We will focus on the behavior of error estimates from 1-block sampling units to analyze their decrease as a function of stratification once the 1-block sampling units have greater variability between them and the other sampling unit sizes ( Table 2 ).

The Results from Both Increasing Sampling Unit Size and Stratification by Cover Area

The use of stratified systematic sampling and 2-block sampling units, for 10% available error and 95% confidence interval, provided a reduction in the sample size ( n e ) by 41% for D F (114 to 67 sampling units), by 47% for D g (378 to 200), by 45% for D V (677 to 370). In contrast, the sampling intensity ( I % ) was kept quite stable when compared with the use of simple systematic sampling and 1-block sampling units.

It is noted that the highest reductions in sample size ( n e ) and sampling intensity ( I % ) were obtained by changes in the allowable error ( AE % from 10% to 15% and to 20%) and the confidence intervals (1 – α from 95% to 90%)( Table 3 ).

Background of Street Tree Population

The study area encompassed residential, commercial, and industrial settlements of old and recent occupations in Piracicaba, the foundation of which dates back 250 years. Over time, the city did not have a well-defined urbanization pattern of territorial expansion. One of the results of the lack of planning for the urban space occupation is that great differences in the distribution of street trees and a wide range of block perimeters are observed throughout the city. This is the case in many cities around the world.

No surveys were found for Piracicaba regarding the percentage of trees in streets, parks, squares, and private properties. However, in Brazil, residential lots tend to have less room for trees (i.e., yard space) than in North America, and one of the reasons is the unplanned urban development.

A motivation to study street trees in cities like Piracicaba is the Municipality’s ability to manage the street tree population and implement public policy. Furthermore, the inventory of street trees is a niche for calculating ecosystem services and tree benefits, such as biomass estimation, carbon accounting, cooling effects, rainfall interception, and air quality, which are important to urban areas and urban planning. Specifically, in developing countries, carbon accounting could be used for Clean Development Mechanism projects. However, in the case of Brazil, the estimation of ecosystem services is not yet widespread among the municipalities.

In Piracicaba, the street tree population mainly comprises mature plants (i.e., in the reproductive stage). Most of them have small dimensions due to the abundance of shrubs used as street trees (28%), which reach about 3 m in height. The pruning is used to avoid the contact of the canopy with the electrical network at 5 m, which is executed by the electric company. So, a low value of total height mean and median (6.2 m and 5.1 m, respectively) was found. Young trees from new plantings and more mature and post-mature trees were also present ( Table 1 and Figure 4 ).

The number of street trees per kilometer of sidewalk ( D F ) presents a mean value of 38 plants/km from both sampling processes, representing one street tree every 26.5 m if they have a homogeneous distribution. This is a low quantity of street trees, according to the maximum distance of 12 meters between them, which is recommended for some cities in Brazil ( RGE 2001 ; Secretaria Municipal do Verde e do Meio Ambiente 2022 ). This variable of interest shows intermediate variability, which indicates a heterogeneous distribution of the number of street trees in the area.

That heterogeneous distribution gains prominence when we think about stratification by a percentage of street tree cover, since the number of street trees and the tree cover area are variables that are directly proportional. In fact, with stratification, there is a reduction of approximately 5% in the coefficient of variation of strata D F compared with the entire population ( Table 2 ).

At the same time, the cover area is influenced by the stage and species of the plants. Basal area per kilometer of sidewalk ( D g ) and volume per kilometer of sidewalk ( D V ) are variables that express the characteristics of each plant. Because of this, they present greater variability and a much more noticeable reduction of the coefficient of variation due to the stratification (more than 15% to D g and 24% to D V ). The variation between them can be explained, since D g is calculated from only 2 spatial dimensions, while D V is derived from 3, resulting in the highest variability among all variables of interest.

Other characteristics that influence the variability of D V include the homogeneity of total heights, wherein a wide range of basal areas are related to a narrow range of heights. If these plants could grow with fewer prunings to avoid the canopy’s contact with the power lines and more prunings to shape the trunk, removing lower branches and forming canopies above the electrical wires, the basal area and total height would be better correlated, and volume would show less variability for the population.

Effects of Sampling Unit Size on Accuracy and Error Estimates

The sampling error is the estimated value of the sample and is associated with the variability among sampling units. The accuracy is the difference between the sampling error and the true value of the population parameter. One way to reduce this error is to increase the size of sampling units because it is expected that they will become more homogeneous compared to each other.

The number of species per kilometer of sidewalk ( D E ) demonstrates low variability compared with D V and D g , but it displays a peculiar behavior for the error estimates because, for them, the greatest decrease occurs from between the 2-block and 3-block sampling unit size, and the stability of sample mean value occurs between 3-block and 4-block sampling unit size. Although the variability is not so high for this variable, the stability of the sample mean value shows us that the best procedure was to use the 3-block sampling units. On the other hand, other aspects make using 3-block sampling units a bad option, as we shall discuss later.

Effects of Stratification on the Accuracy and Error Estimates

With respect to stratification, it is important to note that the street tree population strata are not clearly defined, i.e., the tree cover does not have an exact differentiation between regions of the study area. Thus, within the cells that divide the study area, a range of tree cover values from 1.01% to 11.56% was discerned, but boundaries for grouping by class were not evident. In addition, the definition of the strata becomes subjective once the boundary of each stratum is determined by our visual interpretation of the tree cover distribution ( Figure 3 ).

Despite the subjectivity of the process, stratification by tree cover percentage was an effective strategy to improve precision, especially given that the variable of interest had high variability. Now, we will focus on the behavior of error estimates from 1-block sampling units in Table 2 to analyze their decrease as a function of stratification. After this, we will analyze their values relative to other sampling unit sizes.

Indeed, we have achieved quality results stratifying for variables of interest that are directly correlated with tree cover area according to the literature (i.e., number, basal area, and volume of trees). The mean total height would be better correlated with tree cover area if the street trees had not been pruned as heavily, thereby reducing height.

Effects of Sampling Unit Size and Stratification on Sample Size and Sampling Intensity

In general, the motivation for increasing the sampling units or stratifying the population is to reduce the variability between sampling units, as reducing variability decreases the error estimates and increases the precision of the mean and variance statistics. Another consideration is the cost and time required to execute the sampling. In short, the sampling unit with optimal size and the most adequate sampling process will be one that gives the desired precision with the shortest time requirements and lowest cost. Thus, it is worth evaluating the effects of both sampling processes on the behavior of sample size and sampling intensity.

Sample size and sampling intensity are controlled by the researcher and are not directly dependent on sampling unit size and stratification. However, sampling unit size and stratification can affect the sample size and sampling intensity necessary to achieve desired levels of precision.

With regards to the increase in sampling unit size, it is expected that a larger sampling unit will comprise more of the variability of a population ( Avery and Burkhart 1983 ; Shiver and Borders 1996 ). Less variability means that a smaller number of sampling units (or a smaller sample size) will be sufficient to represent the population to a specific allowable error. On the other hand, when we increase the sampling unit size, the sampling intensity will be larger per sampling unit once it will occupy a more extensive area. Therefore, in this case, sample size ( n e ) and sampling intensity ( I % ) are inversely proportional ( Table 3 ).

In fact, using stratified systematic sampling and 2-block sampling units, for 10% available error and 95% confidence interval, is an efficient strategy to reduce the sample size ( n e ) by 41% for D F , by 47% for D g , by 45% for D V . In contrast, the sampling intensity ( I % ) was kept quite stable when compared with the use of simple systematic sampling and 1-block sampling units.

Implementing a stratification scheme presents tradeoffs between the different time and monetary costs of computer-based work and field work. In this study, for example, stratification required high-resolution multispectral images, free and owned software, a computer, specialized staff, and time sufficient to run geoprocessing computations. As an advantage, however, working inside an office may be more comfortable and safer than doing fieldwork on city streets. The weather may be variable, subjecting staff to sun overexposure, heavy rainfall, or other events, and staff are also subject to hazards common in the city, including theft and car accidents. Beyond these considerations, field work necessitates a more complex level of organization, with considerations such as transport, fuel, measuring devices, data sheets, suitable clothing, food, and water. Therefore, reducing field time can be advantageous despite the expense of stratification.

In field work, two factors demanding time are clear: travel between sampling units and data collection in each. Smaller sampling units require shorter collection and travel times within the units than larger sampling units. With larger sampling units, besides reducing sampling unit number, time is saved in the number of trips between units and for data collection within the sampling units.

The highest reductions in sample size ( n e ) and sampling intensity ( I % ) to the inventory of variables of interest were obtained by changes in the allowable error ( AE % from 10% to 15% and later to 20%) and the confidence intervals (1 – α from 95% to 90%) ( Table 3 ). The desired precision of estimates must be determined by the objectives of an inventory, the availability of financial resources and time, the features of the population, and the variables of interest. Sometimes, a lower precision of estimates can be sufficient to answer what we need about street tree population. Finally, the increase of AE % resulted in diminishing returns for reducing sample sizes, regardless of confidence interval ( Table 3 ). Shiver and Borders (1996) reported a similar pattern, i.e., as sample size increased, smaller reductions of allowable error were observed.

Piracicaba, a medium-sized city, is representative of many cities around the world, since it did not have a planned growth pattern during its development. One of the results of that is the heterogeneous distribution of the street tree population, which leads to the need for greater sampling efforts in the forest inventory to get good accuracy of estimates.

Stratifying the area by percentage of street tree cover to divide the heterogeneous population into more homogeneous subpopulations proved to be an appropriate technique, leading to a reduction in sample size by more than 20% for the variables of interest number of street trees per kilometer of sidewalk, basal area per kilometer of sidewalk, and volume per kilometer of sidewalk, which are directly correlated to street tree cover. Indeed, an innovative contribution of this paper is testing new alternative density variables.

In the study area, the variable of interest mean total height of the sampling unit presented a low mean value and low variability due to almost one-third of the street tree population being shrubs and due to the practice of pruning to avoid contact with power lines at 5 m. If these trees could grow without frequent pruning, the mean total height of the sampling unit and volume per kilometer of sidewalk would correlate better to the street tree cover; therefore, the sampling effort would be even lower. Number of species per kilometer of sidewalk demonstrated low variability among the sampling units in the city and among the strata.

In fact, the association of the stratification with increasing the sampling unit size from 1 block to 2 blocks, for 10% allowable error and 95% confidence interval, provided a reduction on average of 48% in the sample size for the variables of interest that had good correlation with street tree cover.

Since they performed well in Piracicaba, the tested techniques can be used successfully in other cities worldwide to achieve less sampling effort. If there is heterogeneity in the distribution of street trees between regions of the city, stratification by street tree cover can lead to a reduction in the sample size, regardless of whether pruning is carried out to avoid contact of the crowns with power lines. Increasing the sampling unit size was only interesting up to 2 blocks, as beyond that, the increase in sampling intensity compromises the gain in efficiency by reducing the sample size.

A good follow-up study would compare the random sampling units in the i-Tree software with stratified systematic sampling units or even the weighted method. This could help analyze how certain characteristics would suit i-Tree’s traditional ecological parameters (e.g., storm damage), since using its established sampling units could lead to a miscalculation. Sometimes a lot of sampling effort can be expended in sampling areas with few or no trees.

Another issue to be addressed in future research is how the leaf area index (LAI), a variable heavily used for studies focused on measuring ecosystem services, might correlate with our variables of interest. It would be interesting to see how the volume per kilometer of sidewalk and the basal per kilometer of sidewalk, for example, are correlated with LAI.

• Conflicts of Interest

The authors reported no conflicts of interest.

• Acknowledgements

The authors thank FAPESP (Foundation for Research Support of the State of Sao Paulo) for funding this research.

Frequency, family, and habit of the species raised in a densely urbanized area of the city of Piracicaba (Sao Paulo, Brazil). AF (absolute frequency); RF (relative frequency); AF c (absolute cumulative frequency); RF c (relative cumulative frequency); shr (shrub); str (small tree); ltr (large tree); pal (palm); ? (undetermined).

• © 2024 International Society of Arboriculture
• LITERATURE CITED
• Alvarez IA ,
• Velasco GDN ,
• Barbin HS ,
• Lima AMLP ,
• do Couto HTZ.
• Burkhart HE.
• Bagstad KJ ,
• Semmens DJ ,
• Winthrop R.
• Mitchell AK.
• Cavender-Bares JM ,
• Meireles JE ,
• Miteva DA ,
• Pearse WD ,
• Helmus MR ,
• Muller NZ ,
• Kraft NJB ,
• Kerchaw Jr JA.
• ↵ Instituto Brasileiro de Geografia Estatistica (IBGE) . 2010 . Censo populacional do Brasil—2010 . Rio de Janeiro (Brazil) : IBGE . https://censo2010.ibge.gov.br
• ↵ Instituto de Pesquisas e Planejamento de Piracicaba (PPLAP) . 2015 . Piracicaba em dados . Piracicaba (Brazil) : PPLAP . https://ipplap.com.br/site/piracicaba-em-dados
• Jaenson R ,
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• ↵ Laser Technology, Inc. 2016. Criterion RD 1000 overview. Centennial (CO, USA): LTI. https://www.fieldmap.cz/files/Criterion-RD-1000-Specifications.pdf
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• ↵ Multispec . 2017 . Some Multispec Tutorials/Exercises . West Lafayette (IN, USA) : Purdue Research Foundation . https://engineering.purdue.edu/~biehl/MultiSpec/tutorials.html
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• Stevens JC ,
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• ↵ R Core Team . 2019 . R: A language and environment for statistical computing . Vienna (Austria) : The R Project for Statistical Computing . https://www.R-project.org
• ↵ Rio Grande Energia (RGE) . 2001 . Manual de arborização e poda . Porto Alegre (Brazil) : RGE . 124 p.
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• ↵ Secretaria Municipal do Verde e do Meio Ambiente . 2022 . Manual técnico de arborização urbana . São Paulo (Brazil) : Prefeitura Municipal de São Paulo (PMSP) . 124 p. https://www.prefeitura.sp.gov.br/cidade/secretarias/upload/meio_ambiente/MARBOURB.pdf
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• Przewoźna P ,

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• eDiscovery Lessons for In-House Counsel: A Case Study in What Not to Do

In the complex world of eDiscovery, the responsibilities of in-house counsel are more critical than ever. The stakes are high, and the consequences of missteps can be severe, as highlighted in this week’s Case of the Week. In this blog, we’ll examine the recent decision in Domus BWW Funding, LLC v. Arch Insurance Company , where a series of eDiscovery failures led to costly and potentially case altering sanctions. This case serves as a cautionary tale for in-house counsel, offering vital lessons on the importance of early preservation, diligent supervision, and honest communication with the Court.

Case Background

The case of Domus BWW Funding, LLC v. Arch Insurance Company was decided on August 12, 2024, by U.S. District Judge Joshua Wolson. This decision, one of 13 in our eDiscovery Assistant database written by Judge Wolson, underscores the importance of proper eDiscovery practices. The issues at hand included cooperation of counsel, spoliation, sanctions, failure to preserve, and failure to produce evidence—an unfortunate confluence of missteps that culminated in a roadmap of what in-house counsel should avoid.

Key Facts of the Case

Domus sought insurance coverage from Arch for defense costs related to an underlying civil matter. The journey to the Court’s decision began in July 2018 when Domus first notified Arch of its claim. Lynne Miller, Arch’s claims adjuster, and Greg McGowan, the policy underwriter, were central figures in this case.

Arch denied coverage multiple times between 2019 and 2021, leading Domus to file a lawsuit in September 2022. Despite the ongoing litigation, Arch delayed issuing a litigation hold until October 2022—four years after learning of the claim. This delay set the stage for the eDiscovery pitfalls that followed.

Both Miller and McGowan identified relevant electronic and hard copy documents. However, McGowan left the company shortly after the litigation hold was issued, and critical ESI (electronically stored information) was mishandled. By June 2023, Arch had only produced 100 documents, all from the claims file, despite agreeing with Domus on search terms for ESI.

In-house counsel, Don Layden, failed to follow up with the paralegal tasked with executing the ESI search, leading to a significant oversight. Moreover, Arch underwent a data migration in the summer of 2023, during which McGowan’s preserved emails were mistakenly deleted. By the time Arch realized this mistake, the backup tapes had been overwritten, resulting in the permanent loss of these emails.

Despite knowing about the missed ESI search, Layden did not inform outside counsel until October 2023, by which time over 12,000 documents had been identified. Layden’s failure to communicate these issues compounded the problems, leading to further delays and sanctions.

Court’s Analysis and Ruling

Judge Wolson’s analysis was clear and direct. He criticized Arch’s handling of the ESI search, describing the delay as indicative of “counsel’s disdain” for its discovery obligations. The Court found Arch’s behavior, and particularly Layden’s lack of diligence, to be “somewhere between dismissive and disingenuous.”

The Court highlighted the significant delays and the resulting loss of McGowan’s emails as a breach of Arch’s discovery obligations. While the Court did not find intentional misconduct sufficient to warrant sanctions under Rule 37(e)(2), it did find that Arch’s actions caused prejudice, justifying sanctions under Rule 37(e)(1). The Court allowed Domus to introduce evidence of Arch’s eDiscovery failures and stated that it would craft an appropriate jury instruction at trial.

In an ironic twist, Arch’s earlier claims that certain hard copy documents did not exist were proven false when a last-minute search revealed eight file folders containing 400 pages of relevant documents, including the very handwritten notes that Arch had denied existed.

Key Takeaways for In-House Counsel

This case offers several crucial lessons for in-house counsel involved in eDiscovery:

• Early Preservation and Diligence : The importance of issuing a litigation hold promptly cannot be overstated. Arch’s four-year delay in issuing a hold was a significant misstep that contributed to the loss of critical ESI and hard copy documents.
• Active Supervision : In-house counsel must actively supervise the eDiscovery process. Delegating tasks to paralegals or other staff members without follow-up can lead to serious oversights, as evidenced by Arch’s failure to execute the agreed-upon ESI search.
• Transparent Communication : Transparency with outside counsel and the Court is essential. Layden’s failure to inform outside counsel about the ESI issues until it was too late exacerbated the situation and led to further complications.
• Honesty is Non-Negotiable : Misrepresenting facts to the Court, whether intentionally or due to negligence, is a grave mistake. Arch’s initial claims about the non-existence of certain documents were later proven false, damaging their credibility and leading to sanctions.
• Seek Court Intervention When Necessary : If eDiscovery issues arise, it is crucial to involve the Court early on. Domus’s decision to press forward without seeking timely Court intervention may have limited their ability to mitigate the prejudice caused by Arch’s failures.

The Domus v. Arch case serves as a stark reminder of the importance of vigilance, honesty, and proactive management in eDiscovery. In-house counsel play a pivotal role in ensuring that their organization meets its discovery obligations, and the consequences of failing to do so can be severe. By learning from Arch’s mistakes, in-house counsel can better navigate the complexities of eDiscovery, protect their clients’ interests, and avoid the pitfalls that lead to costly sanctions.

This case should be a wake-up call for all legal professionals to prioritize eDiscovery processes and uphold the highest standards of legal practice.

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Organizing Your Social Sciences Research Paper: Writing a Case Study

• Purpose of Guide
• Design Flaws to Avoid
• Independent and Dependent Variables
• Glossary of Research Terms
• Narrowing a Topic Idea
• Broadening a Topic Idea
• Extending the Timeliness of a Topic Idea
• Academic Writing Style
• Choosing a Title
• Making an Outline
• Paragraph Development
• Executive Summary
• The C.A.R.S. Model
• Background Information
• The Research Problem/Question
• Theoretical Framework
• Citation Tracking
• Content Alert Services
• Evaluating Sources
• Reading Research Effectively
• Primary Sources
• Secondary Sources
• Tiertiary Sources
• What Is Scholarly vs. Popular?
• Qualitative Methods
• Quantitative Methods
• Using Non-Textual Elements
• Limitations of the Study
• Common Grammar Mistakes
• Writing Concisely
• Avoiding Plagiarism
• Footnotes or Endnotes?
• Further Readings
• Annotated Bibliography
• Dealing with Nervousness
• Using Visual Aids
• Grading Someone Else's Paper
• Types of Structured Group Activities
• Group Project Survival Skills
• Multiple Book Review Essay
• Reviewing Collected Essays
• Writing a Case Study
• About Informed Consent
• Writing Field Notes
• Writing a Policy Memo
• Writing a Research Proposal
• Bibliography

The term case study refers to both a method of analysis and a specific research design for examining a problem, both of which are used in most circumstances to generalize across populations. This tab focuses on the latter--how to design and organize a research paper in the social sciences that analyzes a specific case.

A case study research paper examines a person, place, event, phenomenon, or other type of subject of analysis in order to extrapolate  key themes and results that help predict future trends, illuminate previously hidden issues that can be applied to practice, and/or provide a means for understanding an important research problem with greater clarity. A case study paper usually examines a single subject of analysis, but case study papers can also be designed as a comparative investigation that shows relationships between two or among more than two subjects. The methods used to study a case can rest within a quantitative, qualitative, or mixed-method investigative paradigm.

Case Studies . Writing@CSU. Colorado State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010 ; “What is a Case Study?” In Swanborn, Peter G. Case Study Research: What, Why and How? London: SAGE, 2010.

How to Approach Writing a Case Study Research Paper

General information about how to choose a topic to investigate can be found under the " Choosing a Research Problem " tab in this writing guide. Review this page because it may help you identify a subject of analysis that can be investigated using a single case study design.

However, identifying a case to investigate involves more than choosing the research problem . A case study encompasses a problem contextualized around the application of in-depth analysis, interpretation, and discussion, often resulting in specific recommendations for action or for improving existing conditions. As Seawright and Gerring note, practical considerations such as time and access to information can influence case selection, but these issues should not be the sole factors used in describing the methodological justification for identifying a particular case to study. Given this, selecting a case includes considering the following:

• Does the case represent an unusual or atypical example of a research problem that requires more in-depth analysis? Cases often represent a topic that rests on the fringes of prior investigations because the case may provide new ways of understanding the research problem. For example, if the research problem is to identify strategies to improve policies that support girl's access to secondary education in predominantly Muslim nations, you could consider using Azerbaijan as a case study rather than selecting a more obvious nation in the Middle East. Doing so may reveal important new insights into recommending how governments in other predominantly Muslim nations can formulate policies that support improved access to education for girls.
• Does the case provide important insight or illuminate a previously hidden problem? In-depth analysis of a case can be based on the hypothesis that the case study will reveal trends or issues that have not been exposed in prior research or will reveal new and important implications for practice. For example, anecdotal evidence may suggest drug use among homeless veterans is related to their patterns of travel throughout the day. Assuming prior studies have not looked at individual travel choices as a way to study access to illicit drug use, a case study that observes a homeless veteran could reveal how issues of personal mobility choices facilitate regular access to illicit drugs. Note that it is important to conduct a thorough literature review to ensure that your assumption about the need to reveal new insights or previously hidden problems is valid and evidence-based.
• Does the case challenge and offer a counter-point to prevailing assumptions? Over time, research on any given topic can fall into a trap of developing assumptions based on outdated studies that are still applied to new or changing conditions or the idea that something should simply be accepted as "common sense," even though the issue has not been thoroughly tested in practice. A case may offer you an opportunity to gather evidence that challenges prevailing assumptions about a research problem and provide a new set of recommendations applied to practice that have not been tested previously. For example, perhaps there has been a long practice among scholars to apply a particular theory in explaining the relationship between two subjects of analysis. Your case could challenge this assumption by applying an innovative theoretical framework [perhaps borrowed from another discipline] to the study a case in order to explore whether this approach offers new ways of understanding the research problem. Taking a contrarian stance is one of the most important ways that new knowledge and understanding develops from existing literature.
• Does the case provide an opportunity to pursue action leading to the resolution of a problem? Another way to think about choosing a case to study is to consider how the results from investigating a particular case may result in findings that reveal ways in which to resolve an existing or emerging problem. For example, studying the case of an unforeseen incident, such as a fatal accident at a railroad crossing, can reveal hidden issues that could be applied to preventative measures that contribute to reducing the chance of accidents in the future. In this example, a case study investigating the accident could lead to a better understanding of where to strategically locate additional signals at other railroad crossings in order to better warn drivers of an approaching train, particularly when visibility is hindered by heavy rain, fog, or at night.
• Does the case offer a new direction in future research? A case study can be used as a tool for exploratory research that points to a need for further examination of the research problem. A case can be used when there are few studies that help predict an outcome or that establish a clear understanding about how best to proceed in addressing a problem. For example, after conducting a thorough literature review [very important!], you discover that little research exists showing the ways in which women contribute to promoting water conservation in rural communities of Uganda. A case study of how women contribute to saving water in a particular village can lay the foundation for understanding the need for more thorough research that documents how women in their roles as cooks and family caregivers think about water as a valuable resource within their community throughout rural regions of east Africa. The case could also point to the need for scholars to apply feminist theories of work and family to the issue of water conservation.

Eisenhardt, Kathleen M. “Building Theories from Case Study Research.” Academy of Management Review 14 (October 1989): 532-550; Emmel, Nick. Sampling and Choosing Cases in Qualitative Research: A Realist Approach . Thousand Oaks, CA: SAGE Publications, 2013; Gerring, John. “What Is a Case Study and What Is It Good for?” American Political Science Review 98 (May 2004): 341-354; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Seawright, Jason and John Gerring. "Case Selection Techniques in Case Study Research." Political Research Quarterly 61 (June 2008): 294-308.

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work. In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I.  Introduction

As with any research paper, your introduction should serve as a roadmap for your readers to ascertain the scope and purpose of your study . The introduction to a case study research paper, however, should not only describe the research problem and its significance, but you should also succinctly describe why the case is being used and how it relates to addressing the problem. The two elements should be linked. With this in mind, a good introduction answers these four questions:

• What was I studying? Describe the research problem and describe the subject of analysis you have chosen to address the problem. Explain how they are linked and what elements of the case will help to expand knowledge and understanding about the problem.
• Why was this topic important to investigate? Describe the significance of the research problem and state why a case study design and the subject of analysis that the paper is designed around is appropriate in addressing the problem.
• What did we know about this topic before I did this study? Provide background that helps lead the reader into the more in-depth literature review to follow. If applicable, summarize prior case study research applied to the research problem and why it fails to adequately address the research problem. Describe why your case will be useful. If no prior case studies have been used to address the research problem, explain why you have selected this subject of analysis.
• How will this study advance new knowledge or new ways of understanding? Explain why your case study will be suitable in helping to expand knowledge and understanding about the research problem.

Each of these questions should be addressed in no more than a few paragraphs. Exceptions to this can be when you are addressing a complex research problem or subject of analysis that requires more in-depth background information.

II.  Literature Review

The literature review for a case study research paper is generally structured the same as it is for any college-level research paper. The difference, however, is that the literature review is focused on providing background information and  enabling historical interpretation of the subject of analysis in relation to the research problem the case is intended to address . This includes synthesizing studies that help to:

• Place relevant works in the context of their contribution to understanding the case study being investigated . This would include summarizing studies that have used a similar subject of analysis to investigate the research problem. If there is literature using the same or a very similar case to study, you need to explain why duplicating past research is important [e.g., conditions have changed; prior studies were conducted long ago, etc.].
• Describe the relationship each work has to the others under consideration that informs the reader why this case is applicable . Your literature review should include a description of any works that support using the case to study the research problem and the underlying research questions.
• Identify new ways to interpret prior research using the case study . If applicable, review any research that has examined the research problem using a different research design. Explain how your case study design may reveal new knowledge or a new perspective or that can redirect research in an important new direction.
• Resolve conflicts amongst seemingly contradictory previous studies . This refers to synthesizing any literature that points to unresolved issues of concern about the research problem and describing how the subject of analysis that forms the case study can help resolve these existing contradictions.
• Point the way in fulfilling a need for additional research . Your review should examine any literature that lays a foundation for understanding why your case study design and the subject of analysis around which you have designed your study may reveal a new way of approaching the research problem or offer a perspective that points to the need for additional research.
• Expose any gaps that exist in the literature that the case study could help to fill . Summarize any literature that not only shows how your subject of analysis contributes to understanding the research problem, but how your case contributes to a new way of understanding the problem that prior research has failed to do.
• Locate your own research within the context of existing literature [very important!] . Collectively, your literature review should always place your case study within the larger domain of prior research about the problem. The overarching purpose of reviewing pertinent literature in a case study paper is to demonstrate that you have thoroughly identified and synthesized prior studies in the context of explaining the relevance of the case in addressing the research problem.

III.  Method

In this section, you explain why you selected a particular subject of analysis to study and the strategy you used to identify and ultimately decide that your case was appropriate in addressing the research problem. The way you describe the methods used varies depending on the type of subject of analysis that frames your case study.

If your subject of analysis is an incident or event . In the social and behavioral sciences, the event or incident that represents the case to be studied is usually bounded by time and place, with a clear beginning and end and with an identifiable location or position relative to its surroundings. The subject of analysis can be a rare or critical event or it can focus on a typical or regular event. The purpose of studying a rare event is to illuminate new ways of thinking about the broader research problem or to test a hypothesis. Critical incident case studies must describe the method by which you identified the event and explain the process by which you determined the validity of this case to inform broader perspectives about the research problem or to reveal new findings. However, the event does not have to be a rare or uniquely significant to support new thinking about the research problem or to challenge an existing hypothesis. For example, Walo, Bull, and Breen conducted a case study to identify and evaluate the direct and indirect economic benefits and costs of a local sports event in the City of Lismore, New South Wales, Australia. The purpose of their study was to provide new insights from measuring the impact of a typical local sports event that prior studies could not measure well because they focused on large "mega-events." Whether the event is rare or not, the methods section should include an explanation of the following characteristics of the event: a) when did it take place; b) what were the underlying circumstances leading to the event; c) what were the consequences of the event.

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experience he or she has had that provides an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of his/her experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using him or her as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem.

If your subject of analysis is a place. In general, a case study that investigates a place suggests a subject of analysis that is unique or special in some way and that this uniqueness can be used to build new understanding or knowledge about the research problem. A case study of a place must not only describe its various attributes relevant to the research problem [e.g., physical, social, cultural, economic, political, etc.], but you must state the method by which you determined that this place will illuminate new understandings about the research problem. It is also important to articulate why a particular place as the case for study is being used if similar places also exist [i.e., if you are studying patterns of homeless encampments of veterans in open spaces, why study Echo Park in Los Angeles rather than Griffith Park?]. If applicable, describe what type of human activity involving this place makes it a good choice to study [e.g., prior research reveals Echo Park has more homeless veterans].

If your subject of analysis is a phenomenon. A phenomenon refers to a fact, occurrence, or circumstance that can be studied or observed but with the cause or explanation to be in question. In this sense, a phenomenon that forms your subject of analysis can encompass anything that can be observed or presumed to exist but is not fully understood. In the social and behavioral sciences, the case usually focuses on human interaction within a complex physical, social, economic, cultural, or political system. For example, the phenomenon could be the observation that many vehicles used by ISIS fighters are small trucks with English language advertisements on them. The research problem could be that ISIS fighters are difficult to combat because they are highly mobile. The research questions could be how and by what means are these vehicles used by ISIS being supplied to the militants and how might supply lines to these vehicles be cut? How might knowing the suppliers of these trucks from overseas reveal larger networks of collaborators and financial support? A case study of a phenomenon most often encompasses an in-depth analysis of a cause and effect that is grounded in an interactive relationship between people and their environment in some way.

NOTE:   The choice of the case or set of cases to study cannot appear random. Evidence that supports the method by which you identified and chose your subject of analysis should be linked to the findings from the literature review. Be sure to cite any prior studies that helped you determine that the case you chose was appropriate for investigating the research problem.

IV.  Discussion

The main elements of your discussion section are generally the same as any research paper, but centered around interpreting and drawing conclusions about the key findings from your case study. Note that a general social sciences research paper may contain a separate section to report findings. However, in a paper designed around a case study, it is more common to combine a description of the findings with the discussion about their implications. The objectives of your discussion section should include the following:

Reiterate the Research Problem/State the Major Findings Briefly reiterate the research problem you are investigating and explain why the subject of analysis around which you designed the case study were used. You should then describe the findings revealed from your study of the case using direct, declarative, and succinct proclamation of the study results. Highlight any findings that were unexpected or especially profound.

Explain the Meaning of the Findings and Why They are Important Systematically explain the meaning of your case study findings and why you believe they are important. Begin this part of the section by repeating what you consider to be your most important or surprising finding first, then systematically review each finding. Be sure to thoroughly extrapolate what your analysis of the case can tell the reader about situations or conditions beyond the actual case that was studied while, at the same time, being careful not to misconstrue or conflate a finding that undermines the external validity of your conclusions.

Relate the Findings to Similar Studies No study in the social sciences is so novel or possesses such a restricted focus that it has absolutely no relation to previously published research. The discussion section should relate your case study results to those found in other studies, particularly if questions raised from prior studies served as the motivation for choosing your subject of analysis. This is important because comparing and contrasting the findings of other studies helps to support the overall importance of your results and it highlights how and in what ways your case study design and the subject of analysis differs from prior research about the topic.

Consider Alternative Explanations of the Findings It is important to remember that the purpose of social science research is to discover and not to prove. When writing the discussion section, you should carefully consider all possible explanations for the case study results, rather than just those that fit your hypothesis or prior assumptions and biases. Be alert to what the in-depth analysis of the case may reveal about the research problem, including offering a contrarian perspective to what scholars have stated in prior research.

Acknowledge the Study's Limitations You can state the study's limitations in the conclusion section of your paper but describing the limitations of your subject of analysis in the discussion section provides an opportunity to identify the limitations and explain why they are not significant. This part of the discussion section should also note any unanswered questions or issues your case study could not address. More detailed information about how to document any limitations to your research can be found here .

Suggest Areas for Further Research Although your case study may offer important insights about the research problem, there are likely additional questions related to the problem that remain unanswered or findings that unexpectedly revealed themselves as a result of your in-depth analysis of the case. Be sure that the recommendations for further research are linked to the research problem and that you explain why your recommendations are valid in other contexts and based on the original assumptions of your study.

V.  Conclusion

As with any research paper, you should summarize your conclusion in clear, simple language; emphasize how the findings from your case study differs from or supports prior research and why. Do not simply reiterate the discussion section. Provide a synthesis of key findings presented in the paper to show how these converge to address the research problem. If you haven't already done so in the discussion section, be sure to document the limitations of your case study and needs for further research.

The function of your paper's conclusion is to: 1)  restate the main argument supported by the findings from the analysis of your case; 2) clearly state the context, background, and necessity of pursuing the research problem using a case study design in relation to an issue, controversy, or a gap found from reviewing the literature; and, 3) provide a place for you to persuasively and succinctly restate the significance of your research problem, given that the reader has now been presented with in-depth information about the topic.

Consider the following points to help ensure your conclusion is appropriate:

• If the argument or purpose of your paper is complex, you may need to summarize these points for your reader.
• If prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the conclusion of your paper to describe your main points and explain their significance.
• Move from a detailed to a general level of consideration of the case study's findings that returns the topic to the context provided by the introduction or within a new context that emerges from your case study findings.

Note that, depending on the discipline you are writing in and your professor's preferences, the concluding paragraph may contain your final reflections on the evidence presented applied to practice or on the essay's central research problem. However, the nature of being introspective about the subject of analysis you have investigated will depend on whether you are explicitly asked to express your observations in this way.

Problems to Avoid

Overgeneralization One of the goals of a case study is to lay a foundation for understanding broader trends and issues applied to similar circumstances. However, be careful when drawing conclusions from your case study. They must be evidence-based and grounded in the results of the study; otherwise, it is merely speculation. Looking at a prior example, it would be incorrect to state that a factor in improving girls access to education in Azerbaijan and the policy implications this may have for improving access in other Muslim nations is due to girls access to social media if there is no documentary evidence from your case study to indicate this. There may be anecdotal evidence that retention rates were better for girls who were on social media, but this observation would only point to the need for further research and would not be a definitive finding if this was not a part of your original research agenda.

Failure to Document Limitations No case is going to reveal all that needs to be understood about a research problem. Therefore, just as you have to clearly state the limitations of a general research study , you must describe the specific limitations inherent in the subject of analysis. For example, the case of studying how women conceptualize the need for water conservation in a village in Uganda could have limited application in other cultural contexts or in areas where fresh water from rivers or lakes is plentiful and, therefore, conservation is understood differently than preserving access to a scarce resource.

Failure to Extrapolate All Possible Implications Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings. If you do not, your reader may question the validity of your analysis, particularly if you failed to document an obvious outcome from your case study research. For example, in the case of studying the accident at the railroad crossing to evaluate where and what types of warning signals should be located, you failed to take into consideration speed limit signage as well as warning signals. When designing your case study, be sure you have thoroughly addressed all aspects of the problem and do not leave gaps in your analysis.

Case Studies . Writing@CSU. Colorado State University; Gerring, John. Case Study Research: Principles and Practices . New York: Cambridge University Press, 2007; Merriam, Sharan B. Qualitative Research and Case Study Applications in Education . Rev. ed. San Francisco, CA: Jossey-Bass, 1998; Miller, Lisa L. “The Use of Case Studies in Law and Social Science Research.” Annual Review of Law and Social Science 14 (2018): TBD; Mills, Albert J., Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Putney, LeAnn Grogan. "Case Study." In Encyclopedia of Research Design , Neil J. Salkind, editor. (Thousand Oaks, CA: SAGE Publications, 2010), pp. 116-120; Simons, Helen. Case Study Research in Practice . London: SAGE Publications, 2009;  Kratochwill,  Thomas R. and Joel R. Levin, editors. Single-Case Research Design and Analysis: New Development for Psychology and Education .  Hilldsale, NJ: Lawrence Erlbaum Associates, 1992; Swanborn, Peter G. Case Study Research: What, Why and How? London : SAGE, 2010; Yin, Robert K. Case Study Research: Design and Methods . 6th edition. Los Angeles, CA, SAGE Publications, 2014; Walo, Maree, Adrian Bull, and Helen Breen. “Achieving Economic Benefits at Local Events: A Case Study of a Local Sports Event.” Festival Management and Event Tourism 4 (1996): 95-106.

Writing Tip

At Least Five Misconceptions about Case Study Research

Social science case studies are often perceived as limited in their ability to create new knowledge because they are not randomly selected and findings cannot be generalized to larger populations. Flyvbjerg examines five misunderstandings about case study research and systematically "corrects" each one. To quote, these are:

Misunderstanding 1 :  General, theoretical [context-independent knowledge is more valuable than concrete, practical (context-dependent) knowledge. Misunderstanding 2 :  One cannot generalize on the basis of an individual case; therefore, the case study cannot contribute to scientific development. Misunderstanding 3 :  The case study is most useful for generating hypotheses; that is, in the first stage of a total research process, whereas other methods are more suitable for hypotheses testing and theory building. Misunderstanding 4 :  The case study contains a bias toward verification, that is, a tendency to confirm the researcher’s preconceived notions. Misunderstanding 5 :  It is often difficult to summarize and develop general propositions and theories on the basis of specific case studies [p. 221].

While writing your paper, think introspectively about how you addressed these misconceptions because to do so can help you strengthen the validity and reliability of your research by clarifying issues of case selection, the testing and challenging of existing assumptions, the interpretation of key findings, and the summation of case outcomes. Think of a case study research paper as a complete, in-depth narrative about the specific properties and key characteristics of your subject of analysis applied to the research problem.

Flyvbjerg, Bent. “Five Misunderstandings About Case-Study Research.” Qualitative Inquiry 12 (April 2006): 219-245.

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